At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.
We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.
Title: Guideline Management Senior Associate (Aladdin)
This position is responsible for assisting in the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program for the firm’s client accounts and products. Position is responsible for assisting in the assessment of the firm’s guideline monitoring risks and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with stated client investment restrictions, product mandates and regulatory thresholds. This is a visible position within the organization, often interacting with members of the firm’s Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.
- Must successfully monitor investment guidelines on a pre and post-trade basis in Aladdin and internal systems. Monitoring will cover products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate and structured products.
- 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 on relevant investment compliance issues. Resolve and/or recommend to management solutions to investment guideline compliance related issues.
- Assist with ad-hoc investment guideline coding amendments.
- Assist with regulatory examinations and other internal audits as appropriate.
- Participate in other department or corporate projects as requested.
- Guideline management experience, Aladdin experience is essential.
- Asset management experience [ideally in either Compliance or in a Middle Office Portfolio Management Assistant role].
- Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations, particularly 1940 Act; ERISA and US State Sector rules.
- Effective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail oriented.
- Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
- 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.
- Understanding of indices and derivative instruments; knowledge of how these can be used in portfolios.
- Good communicator who has previous daily engagement with investment teams.
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What We Do
Barings is a $382+ billion* global investment manager sourcing differentiated opportunities and building long-term portfolios across public and private fixed income, real estate, and specialist equity markets. With investment professionals based in North America, Europe and Asia Pacific, the firm, a subsidiary of MassMutual, aims to serve its clients, communities and employees, and is committed to sustainable practices and responsible investment. *Assets under management as of 6/30/21
