Associate Director, Sales Practice Compliance

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: Associate Director, Sales Practice ComplianceBusiness Unit: ComplianceLocation: Charlotte, NC or Boston, MABarings 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 SummaryThe Associate Director of Sales Practice Compliance assists in the sales practice compliance of Barings offices located in the US. Such activities include, but are not limited to, reviewing advertising and marketing materials utilized by the firm in the offering and placement of its investment advisory products and services to ensure those materials, and the manner in which they are distributed, comply with applicable securities laws and regulations and firm standards, including Global Investment Performance Standards. In addition, the Associate Director will assist in developing and maintaining compliance practices for the conduct of business outside the US. Other key aspects of the Director position are conducting routine surveillance on electronic communications, establishing policies and procedures designed to achieve compliance with various SEC and FINRA rules. This position is critical to the organization, particularly as the firm continues to operation globally. This compliance position requires a candidate who appreciates the importance of well drafted, business appropriate policies that meet regulatory expectations and, where appropriate, industry best practices. This position has 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 enhanced litigation risk, as well as damage to the firm's industry reputation.Primary ResponsibilitiesResponsible for the compliance review and approval of all marketing and sales material including pitchbooks, factsheets, thought leadership, and social media to ensure compliance with applicable SEC and FINRA rules.Draft and maintain policies and procedures related to Sales Practice compliance.Conduct surveillance of Registered Rep electronic communications including email, social media, and text messages.Proactively identify patterns or trends that may emerge in surveillance reviews.Draft and maintain key policies and procedures relating to Sales Practices topics.Participate in or lead key department or corporate projects as needed.Provide advice and support across Compliance departments including global locations.Develop and conduct training on specific rules and regulations to various stakeholders.Resolve and /or recommend to management solutions to sales practices issues; provide guidance to business units on relevant compliance issues.Collaborate with IT and front office personnel on the development and implementation of solutions to address existing and new regulatory requirements.Remain current with regulatory matters including enforcement actions related to the industry generally.QualificationsFINRA Series 7 registration required. Unlicensed candidates considered and must obtain license within 6 months from start date.FINRA Series 24 registration required. Unlicensed candidates considered and must obtain license within 6 months from start date.Bachelor's degree requiredA minimum of 3+ years of investment adviser or broker dealer experience with emphasis on compliance. Experience with various asset types including equity and fixed income assets; private investment funds; bank loans; real estate investments; business development companies preferred.Strong understanding of the role of Compliance and the relationship between Compliance and business.Knowledge of the provisions within Investment Advisers Act, FINRA rules and regulations, and other applicable regulations.Experience working with regulatory agencies (e.g., SEC, FINRA) and/or a corporate audit environment a plus.Experience in project management and addressing ad hoc data analysis requests.Effective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail oriented.Must be self-motivated, proactive and must possess the skills to successfully interact and negotiate with internal professionals, including management.Strong ability to comprehend highly technical regulatory requirements.Demonstrates ongoing commitment to continuous learning and self- improvement.Base Salary Range: $95,000- $145,000 (also includes additional performance based incentive programs)#LI-JS1Requisite SkillsAdditional SkillsBarings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.Barings offers a comprehensive benefits package including:CORE BENEFITS & WELLNESSMedical (including Virtual Care), Prescription, Dental, and Vision CoverageFitness Center Reimbursement Program (Including Online Memberships)Employee Assistance Program (EAP)Fertility BenefitsFINANCIAL WELL-BEINGHighly competitive 401(k) Plan with Company MatchHealth Savings Account (HSA) with Company ContributionsFlexible Spending Accounts (FSA) - Health Care & Dependent CareRetirement Health Reimbursement AccountLIFE INSURANCE* Basic and Supplemental Life Insurance* Spouse and Child Life InsuranceTIME OFF, DISABILITY AND LEAVE OF ABSENCEPaid Vacation, Sick Days and Annual HolidaysPaid Leave of Absences (Maternity Leave, Parental Leave, Caregiver Leave, Bereavement Time)Short and Long Term Disability PlansPaid Volunteer TimeOTHER BENEFITSEducation Assistance ProgramCharitable Matching Gifts ProgramCommuter Reimbursement ProgramAdoption and Surrogacy Reimbursement Program