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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.
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We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.
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Title: Counsel- Regulatory
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Business Unit: Legal
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Location: Charlotte, NC
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<i> Job Summary</i>
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Barings LLC (“Barings”) is looking for an attorney to join its Legal Department in Charlotte, North Carolina. 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, FINRA, and on other corporate matters and trading issues related to the functioning of a globally registered investment adviser.
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<i> Primary Responsibilities</i>
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Barings is looking for an experienced attorney who will be able to provide regulatory advice for all aspects of its investment management business. Responsibilities will include some or all of the following:
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<li> Ability to analyze regulatory issues in investment advisor and asset management businesses and provide effective advice to clients on complex legal matters</li>
<li> Experience with asset management business, the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940</li>
<li> Providing assistance during SEC, FINRA and other regulatory examinations</li>
<li> Reviewing and analyzing rulemakings under various U.S. regulatory regimes</li>
<li> Familiarity with registered investment companies, their governance and regulatory requirements a plus</li>
<li> Experience with ESG regulations and initiatives a plus</li>
<li> Providing support and guidance to other corporate projects and initiatives</li>
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<i> Qualifications</i>
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<li> 4-8 years of private practice, asset management or government agency experience working with the Adviser’s Act and/or the Investment Company Act</li>
<li> Ability to appropriately prioritize tasks, organize, and coordinate work while showing initiative, independence and sound judgment</li>
<li> Demonstrated ability to work effectively both independently and as part of a team</li>
<li> Superior organizational skills and the ability to manage heavy workload of diverse matters in a timely manner</li>
<li> High standards of personal integrity and sound business judgment</li>
<li> Ability to successfully collaborate with internal colleagues, effectively utilize external counsel, and interact with other third parties at senior levels</li>
<li> J.D. from a highly regarded law school</li>
<li> Licensed to practice law in North Carolina (or another US jurisdiction, with the ability to obtain license in North Carolina)</li>
<li> 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</li>
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#LI-KW1
<br> #LI-Hybrid
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<i> Barings is an Equal Employment Opportunity employer; </i>
<i>Minority/Female/Age/Sexual</i>
<i> Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.</i>
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<i> Barings offers a comprehensive benefits package including:</i>
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CORE BENEFITS & WELLNESS
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<li> Medical (including Virtual Care), Prescription, Dental, and Vision Coverage</li>
<li> Fitness Center Reimbursement Program (Including Online Memberships)</li>
<li> Employee Assistance Program (EAP)</li>
<li> Fertility Benefits</li>
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FINANCIAL WELL-BEING
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<li> 401(k) Plan w/Company Match</li>
<li> Pension Plan</li>
<li> Health Savings Account (HSA) with Company Contributions</li>
<li> Flexible Spending Accounts (FSA) - Health Care & Dependent Care</li>
<li> Retirement Health Reimbursement Account</li>
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LIFE INSURANCE
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<li> Basic and Supplemental Life Insurance</li>
<li> Spouse and Child Life Insurance</li>
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TIME OFF, DISABILITY AND LEAVE OF ABSENCE
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<li> Paid Vacation, Sick Days and Annual Holidays</li>
<li> Paid Leave of Absences (Maternity Leave, Parental Leave, Caregiver Leave, Bereavement Time)</li>
<li> Short and Long Term Disability Plans</li>
<li> Paid Volunteer Time</li>
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OTHER BENEFITS
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<li> Education Assistance Program</li>
<li> Charitable Matching Gifts Program</li>
<li> Commuter Reimbursement Program</li>
<li> Adoption and Surrogacy Reimbursement Program</li>
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