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: Senior Compliance Associate
Business Unit: Compliance
Location: Hong Kong
Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers. Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets. A subsidiary of MassMutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific.
Job Summary
We are seeking a Senior Compliance Associate to join our Hong Kong Office. The ideal candidate is responsible for the day-to-day compliance activities for the Firm’s various business functions. This position is responsible for the execution of the Firm’s compliance program and assisting in managing regulatory risks associated with its various business activities. Requires the use of policies, procedures, and manual and automated systems to mitigate relevant risks and comply with regulatory obligations. This position is a visible position within the organization often interacting with members of the firm’s investment, sales and operations teams. This position will also assist in managing the Compliance Department’s strategic planning process, including facilitating the completion of projects and elevating related risks.
Primary Responsibilities
- Execution of the firm’s compliance program and managing regulatory risks associated with various business activities, which include monitoring personal conflicts of interest such as personal trading and gifts and entertainment (G&E), reviewing marketing materials, performing Anti-Money Laundering (AML) and Know Your Customer (KYC) checks as well as conducting trade surveillance and other monitoring work.
- Handle licensing, notifications, inspections, audit, reporting and any requests from regulators in China, Hong Kong and South Korea.
- Draft, maintain, and enhance policies and procedures related to regulatory obligations.
- Contribute to key departmental and firm-wide projects, ensuring alignment with compliance objectives.
- Participate in developing reporting and periodic presentation to governance forums as needed.
- Provide regulatory guidance and compliance support across global Compliance teams and business units.
- Conduct and arrange necessary compliance trainings on regulations and internal policies to relevant stakeholders.
- Resolve or escalate compliance issues and provide practical guidance to business units.
- Stay current on regulatory developments and enforcement actions affecting the firm and advise management on significant issues and emerging risks.
Qualifications
- Minimum of 5 years of experience in the investment adviser or financial services industry, with a strong emphasis on 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.
- Deep understanding of the Compliance function and its strategic relationship with business operations.
- Proven experience working within a global, matrixed investment management organization, with demonstrated ability to influence and communicate effectively with key stakeholders.
- Strong knowledge of Hong Kong regulatory frameworks and relevant regulations.
- Experience interacting with regulatory agencies and/or working within a corporate audit environment is a plus.
- Highly effective team player with strong interpersonal skills, and analytical abilities, and meticulous attention to detail.
- Ability to manage multiple priorities in a fast-paced environment.
- Exceptional organizational skills with a proven track record of meeting deadlines.
- Self-motivated and proactive, with the ability to engage and negotiate effectively with internal stakeholders, including senior management.
- Strong aptitude for interpreting and applying complex regulatory requirements.
- Committed to continuous learning and professional development.
- Excellent written and verbal communication skills in Cantonese and English and Mandarin is preferred.
Requisite Skills
Additional Skills
Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.