Associate Director, Sales Practice Compliance

Barings

Charlotte, NC, US
Review advertising and marketing materials
Conduct surveillance of electronic communications
Develop and maintain policies and procedures
The Associate Director of Sales Practice Compliance assists in the sales practice compliance of Barings offices located in the US, reviewing advertising and marketing materials to ensure compliance with applicable laws and regulations

Job Summary

  • The Associate Director of Sales Practice Compliance assists in the sales practice compliance of Barings offices located in the US, reviewing advertising and marketing materials to ensure compliance with applicable laws and regulations.
  • Key responsibilities include conducting surveillance of electronic communications, establishing policies and procedures, and providing advice and support across Compliance departments, including global locations.
  • Barings offers a comprehensive benefits package including medical, dental, vision, 401(k) with company match, life insurance, paid time off, and disability plans.

Matching Summary

The Associate Director of Sales Practice Compliance assists in the sales practice compliance of Barings offices located in the US, reviewing advertising and marketing materials to ensure compliance with applicable laws and regulations.

Skills & Requirements

Must-have

  • Review advertising and marketing materials
  • Conduct surveillance of electronic communications
  • Develop and maintain policies and procedures
  • Provide advice and support to business units
  • Remain current with regulatory matters

Nice-to-have

  • Collaborate with IT and front office personnel
  • Results-oriented team player
  • Strong interpersonal skills
  • Continuous learning and self-improvement

Key Requirements

  • FINRA Series 7 registration required
  • FINRA Series 24 registration required
  • Bachelor’s degree required
  • 3+ years investment adviser or broker dealer experience
  • Experience with various asset types preferred
  • Knowledge of Investment Advisers Act and FINRA rules

Work Rights

Not specified

Tailored Resume

Cover Letter