Trading Compliance Lead — Senior Associate
Job in
Charlotte, Mecklenburg County, North Carolina, 28245, USA
Listed on 2026-08-29
Listing for:
Barings LLC
Full Time
position Listed on 2026-08-29
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Barings LLC in Charlotte, NC seeks a Senior Associate/Associate Director for Trading Practices Compliance to oversee day-to-day surveillance of trading activities and assess risk compliance with firm policies. The role interfaces with Portfolio Management, Trading, Legal, Risk, and Operations to mitigate regulatory exposure and protect Barings’ interests.
The successful candidate will lead surveillance on best execution, MNPI, wall-crossing, and policy development, while staying abreast of
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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