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Director - Head of Operational Compliance at BARINGS
Rob has worked in asset management for over 20 years and joined Barings in September 2000 as Head of Operational Compliance, to create a global operational compliance function. This includes responsibility for Barings’ Transaction Reporting process, working with vendors like LSE-UnaVista, FundApps and KNEIP to implement reporting solutions for Shareholding Disclosures, EMIR, MiFID and AIFMD Annex IV Reporting.
Rob implemented the firm's guideline management process covering client and regulatory data, and the associated support systems. She has worked with vendors like Fidessa and Markit to create effective, risk oriented guideline management functionality, to increase automation of compliance checks. Rob is passionate about influencing investment professionals to focus on the needs of clients during their decision making process and has written on the subject in industry journals, while addressing other operational risk topics. Between 2004 and 2009 Rob was responsible for the firm’s Equity Asset Allocation (trade implementation) and Private Client Service processes. These middle office functions supported investment decision making and order generation.
Rob is a member of Barings’ Operations Leadership Team and sits on their Client Asset Oversight Committee. Prior to joining Barings Rob worked for Citigroup leading a London based fiduciary risk management team. She holds a Masters degree in Business Administration