Barings · 1 month ago
Associate Director, Guideline Management
US - MA - BOSTON - 10 FAN PIER BLVD
Full-time
Onsite
Mid, Senior Level, Lead/Staff
$125K/yr - $140K/yr
5+ years expBarings is a firm that values both its associates and clients, focusing on integrity and collaboration. The role involves maintaining and developing an investment guideline monitoring program, assessing guideline monitoring risks, and ensuring compliance with client investment restrictions and regulatory thresholds.
Venture Capital
Responsibilities
Must successfully monitor investment guidelines for products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, structured products
Construct and maintain pre- and post-trade controls designed to avoid/identify breaches to client & regulatory guidelines
Assist with assessing restrictions in portfolio organizational documents and coding them into the order management system, both at onboarding of new mandates and for ongoing ad-hoc amendments
Escalate potential breaches of regulatory and client investment restrictions promptly and within any stipulated deadlines to Management, Portfolio Management, Client Services and other relevant stakeholders
Provide guidance to business units and compliance staff on relevant investment compliance issues. Resolve and/or recommend to management solutions for investment compliance related issues
Remain current with regulatory matters related to the industry generally and investment compliance specifically. Advise management of significant developments
Assist with regulatory examinations and other internal audits as appropriate
Participate in other department or corporate projects as requested
Qualification
Required
Graduate with minimum of 5 years' asset management experience preferred
Minimum 3 years' guideline management experience preferred
Proficiency in monitoring trading and coding in BlackRock's Aladdin preferred, however other OMS/Portfolio Compliance systems (Charles River, Bloomberg AIM, Sentinel etc.) will be considered
Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations, particularly 1940 Act; ERISA and US State Sector rules
Experience working with regulatory agencies (e.g., SEC, FINRA, FCA) and/or a corporate audit environment a plus
Effective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail oriented
Strong ability to comprehend highly technical regulatory requirements
Strong Excel experience also a plus
Good working knowledge of order generation and dealing process/risk control
Reading Prospectuses and segregated mandates to identify relevant guidelines and applicable regulations; and implementing automated controls and supplemental manual checks for non-programmable guidelines
Understanding of indices and derivative instruments; knowledge of how these can be used in portfolios
Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk
Good communicator who has previous daily engagement with investment teams
Company
Barings
Barings is a $470+ billion* global asset management firm that partners with institutional, insurance, and intermediary clients, and supports leading businesses with flexible financing solutions.
Founded in 1762London, England, GBR
1001-5000 employees
H1B Sponsorship
Barings has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (10)
2024 (5)
2023 (5)
2022 (10)
2021 (9)
2020 (7)
Funding
Current Stage
Public CompanyTotal Funding
unknown2002-12-27IPO
Leadership Team
Ian M. Fowler, CFA
CEO & President - Barings Private BDC (BCIC)
Mike Freno
Chairman and CEO, Barings LLC
Recent News
2024-05-07
2024-04-28
2024-04-28
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