Charlotte, North Carolina, United States · On-site
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 competencie…
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · Hybrid
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Charlotte, North Carolina, United States · Hybrid
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, t…
Skills: Analytical Thinking, Issue Management, Tax Administration, Continuous Improvement, Policies, Procedures, and Guidelines Management
Charlotte, North Carolina, United States · Hybrid
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, t…
Skills: Analytical Thinking, Issue Management, Tax Administration, Continuous Improvement, Policies, Procedures, and Guidelines Management
Charlotte, North Carolina, United States · Hybrid
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, t…
Skills: Analytical Thinking, Issue Management, Tax Administration, Continuous Improvement, Policies, Procedures, and Guidelines Management
Charlotte, North Carolina, United States · Remote OK
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · Hybrid
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · Hybrid
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · On-site
Become part of the Parker Poe team that – for more than a century – has represented many of the Southeast’s largest companies and local governments. We are a tight-knit firm that values the person beyon…
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Charlotte, North Carolina, United States · Hybrid
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Charlotte, North Carolina, United States · On-site
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Charlotte, North Carolina, United States · On-site
$25/hr–$37/hr
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Charlotte, North Carolina, United States · Hybrid
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Charlotte, North Carolina, United States • On-site
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Responsible for day-to-day surveillance and oversight of trading functions to identify breaches and mitigate trading risks. This includes monitoring best execution, fair allocation, and market abuse while maintaining trading policies and procedures.
Requires a minimum of 4 years of financial services experience with a focus on trade compliance across various asset classes. Proficiency in Aladdin or a similar order management system and knowledge of global regulatory frameworks like the Investment Advisers Act and MiFID II are required.
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, Trading Practices Compliance
Business Unit: Compliance
Location: Charlotte, NC
Barings 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 Summary
Responsible for the day-to-day surveillance and oversight activities for the Firm’s various trading functions. Position is responsible for the assessment of the Firm’s trading risk and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions. This position reports to the Head of Trading Practices Compliance and is a visible position within the organization often interacting with members of the firm’s Portfolio Management, Trading, Legal, Risk, and Operations teams.
Position is vital to the success of the organization’s trading practices compliance function. Given the volume and types of investment activity occurring, it is important that there be adequate trade compliance coverage. This position will have 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 minimizing litigation risk, as well as damage to the firm’s industry reputation.
Primary Responsibilities
Qualifications
#LI-JS1
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.
Barings offers a comprehensive benefits package including:
OTHER BENEFITS
Investing Together
Barings is a $481 billion* global alternative asset manager that partners with institutional, insurance and wealth clients and supports leading businesses with flexible financing solutions. The firm, a subsidiary of MassMutual with a minority investment from MS&AD, seeks to deliver excess returns by leveraging its global scale and capabilities across credit, real assets, capital solutions and emerging markets. *As of March 31, 2026
Offices: 300 S Tryon St, Charlotte, North Carolina, US
Based on 55 listings with disclosed salaries, most legal jobs in Charlotte, NC pay between $60k–$150k per year. Individual offers vary with seniority, company size, and specialization.
There are currently 129 open legal positions in Charlotte, NC listed on Clera. New openings are added daily as companies post roles.
Companies currently hiring include Bank of America, McMichael Taylor Gray, LLC, Mecklenburg County, Wells Fargo, American Express, among others. Browse the listings above to see every active employer.
Yes — 70 of the 129 open legal positions offer remote or hybrid work (8 remote, 62 hybrid).
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