Senior Trading Compliance Specialist
baringsCharlotte, NC
Senior Trading Compliance Specialist
baringsCharlotte, NC
2 days ago
Occupations
Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationMiscellaneous IntermediationSecurities and Commodity ExchangesAbout the role
Barings in Charlotte, NC is seeking a Senior Associate/Associate Director for Trading Practices Compliance to lead day-to-day surveillance of trading activities and assess risk to ensure policy and regulatory adherence. This role collaborates with Portfolio Management, Trading, Legal, Risk, and Operations to protect the firm from regulatory exposure.
The ideal candidate has 4+ years in investment or financial services trade compliance, with knowledge of major regulations, MNPI handling, and
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JOB OVERVIEW
Experience level
Senior
Location
Charlotte, NC
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago
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