Title: Associate Director, Trading Practices Compliance Business Unit: Compliance Location: Charlotte, NC Job Summary Responsible for the day-to-day surveillance and oversight activities for the Firm's various trading functions. Position is responsible for the assessment of the Firm's trading risk and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions. This position reports to the Head of Trading Practices Compliance and is a visible position within the organization often interacting with members of the firm's Portfolio Management, Trading, Legal, Risk, and Operations teams. Position is vital to the success of the organization's trading practices compliance function. Given the volume and types of investment activity occurring, it is important that there be adequate trade compliance coverage. This position will have a direct impact on the firm's ability to conduct business in accordance with applicable law, thereby protecting the firm from adverse regulatory exposure and minimizing litigation risk, as well as damage to the firm's industry reputation. Primary Responsibilities 37Responsible for primarily assisting with surveillance and compliance monitoring related to best execution, cross trades, fair allocation, order management, market abuse, insider trading, and trade error review and remediation37Proactively identify patterns or trends through surveillance reviews and escalate findings as appropriate.37Draft, maintain, and enhance policies and procedures related to trading practices and regulatory obligations.37Lead or contribute to key departmental and firm-wide projects, ensuring alignment with compliance objectives.37Participate in developing reporting and periodic presentation to governance forums as needed.37Develop and deliver targeted training on trading-related rules, regulations, and internal policies to relevant stakeholders.37Resolve or escalate trading-related compliance issues and provide practical guidance to business units.37Collaborate with IT, front office, and other stakeholders to design and implement solutions that address new and evolving regulatory requirements.37Stay current on regulatory developments and enforcement actions affecting trading practices and advise management on significant issues and emerging risks. Qualifications 37Minimum 4 years of investment adviser or financial service experience with emphasis on trade compliance. Experience across a range of asset classes primarily including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities are required.37Experience with Firewalls, Insider Trading, Market Conduct, and other conflicts of interest polices strongly preferred.37Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS, MAR, AIFMD, MIFID II and other applicable regulations.37Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus.37Experience in project management and addressing ad-hoc data analysis requests.37Effective, results orientated team player with strong interpersonal skills; Critical thinker with very strong organizational and analytical skills; must be very detail oriented.37Must be self-motivated and must possess the skills to successfully interact with and negotiate with internal professionals, including management.37Strong ability to comprehend highly technical regulatory requirements.37Demonstrates ongoing commitment to continuous learning and self- improvement.37Aladdin and strong Excel experience also a plus.37Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.37Good communicator who has previous daily engagement with investment teams.37Proficiency in Aladdin or another order management system required. #LI-JS1 Requisite Skills Additional Skills Barings offers a comprehensive benefits package including: CORE BENEFITS & WELLNESS 37Medical (including Virtual Care), Prescription, Dental, and Vision Coverage37Fitness Center Reimbursement Program (Including Online Memberships)37Employee Assistance Program (EAP)37Fertility Benefits FINANCIAL WELL-BEING 37Highly competitive 401(k) Plan with Company Match37Health Savings Account (HSA) with Company Contributions37Flexible Spending Accounts (FSA) - Health Care & Dependent Care37Retirement Health Reimbursement Account LIFE INSURANCE 37Basic and Supplemental Life Insurance37Spouse and Child Life Insurance TIME OFF, DISABILITY AND LEAVE OF ABSENCE 37Paid Vacation, Sick Days and Annual Holidays37Paid Leave of Absences (Maternity Leave, Parental Leave, Caregiver Leave, Bereavement Time)37Short and Long Term Disability Plans37Paid Volunteer Time OTHER BENEFITS 37Education Assistance Program37Charitable Matching Gifts Program37Commuter Reimbursement Program37Adoption and Surrogacy Reimbursement Program