Associate Director, Sales Practice Compliance

Barings

Charlotte, NC, USA
Compliance review of marketing materials
Surveillance of electronic communications
Drafting compliance policies
Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients

Job Summary

  • Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients.
  • The Associate Director will assist in developing and maintaining compliance practices for the conduct of business outside the US.
  • This position has a direct impact on the firm’s ability to conduct business in accordance with applicable law.

Matching Summary

Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients.

Skills & Requirements

Must-have

  • Compliance review of marketing materials
  • Surveillance of electronic communications
  • Drafting compliance policies

Nice-to-have

  • Strong interpersonal skills
  • Project management experience
  • Commitment to continuous learning

Key Requirements

  • FINRA Series 7 registration required
  • FINRA Series 24 registration required
  • Minimum of 3 years of compliance experience

Work Rights

Not specified

Tailored Resume

Cover Letter