Legal Counsel Regulatory & Trading
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.
Overview:
Barings LLC (“Barings”) is looking for an attorney to join its Legal Department in the Regulatory and Trading Team. The successful candidate will be primarily responsible for advising Barings on general regulatory issues related to Barings’ status as a globally regulated investment adviser and manager of registered investment companies, including advising on issues with the Securities and Exchange Commission and on other corporate matters related to the functioning of a globally registered investment adviser. The position reports to the Head of the Regulatory and Trading Legal Team.
Primary responsibilities:
• Providing legal advice on regulatory issues related to Barings’ status as a registered investment adviser.
• Providing advice and assistance with respect to the Investment Company Act and the various open and closed-end registered funds.
• Reviewing new industry rules and regulations to determine the impact to Barings and any needed action or advocacy.
• Providing assistance during SEC and other regulatory examinations.
• Providing advice with respect to Commodity Exchange Act questions and other derivatives questions.
• Reviewing and analyzing rulemakings under various U.S. regulatory regimes.
• Providing support and guidance to other corporate projects and initiatives.
Qualifications:
• Minimum of 4 years of experience working with the Adviser’s Act and or the Investment Company Act.
• Ability to appropriately prioritize tasks, organize and coordinate work while showing initiative, independence and sound judgment.
• Demonstrated ability to work effectively both independently and as part of a team.
• Ability and willingness to take ownership and responsibility for tasks.
• Detail-oriented and flexible with a strong work ethic.
• Superior organizational skills and the ability to manage heavy workload of diverse matters in a timely manner.
• High standards of personal integrity and sound business judgment.
• Diverse problem-solving skills in the investment arena.
• Significant interpersonal skills and the ability to successfully deal with internal colleagues, external counsel and other third parties at senior levels.
• J.D. from a highly-regarded law school.
• Licensed to practice law in North Carolina (or another US jurisdiction, with the ability to obtain license in North Carolina).
• Must be willing to comply with the provisions of Barings’s Code of Ethics related to personal securities activities and other disclosure and certification requirements.
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.
