Compliance Officer

1 week ago

Menomonee Falls, United States The Ladders Full time
Elevate Your Career

Work where your ideas have impact

COMPANY

Allspring Global Investments™ is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes. With decades of trusted experience propelling us forward, we strive to build portfolios aimed at generating successful outcomes for our clients. We do this through the independence of thought that powers our investment strategies and by bringing a renewed approach to look around the corner to unlock what's possible. Allspring is a company committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains. For more information, please visit About Us - Allspring Global Investments.

At Allspring, unique views inspire us. We leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. We strive to attract and retain a diverse talent pool that enables us to better serve our global client base. Intentionally fostering a diverse and inclusive culture allows us to empower innovation, productivity, and engagement. It's also essential for elevating the experience of our clients as well as the communities in which we operate. Thank you for considering Allspring as you explore the next step in your career journey.

POSITION

The Allspring Global Sales Practice Compliance team is seeking a Compliance Officer who will be responsible for assisting in the review of global marketing communications. The successful candidate should have experience in working with business partners to solve complex issues. In addition, the candidate will have the opportunity to work on projects to assist with the streamlining of the marketing review process.

RESPONSIBILITIES

  • Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements.
  • Lead and manage projects with minimal supervision related to marketing communications.
  • Experience with working with all levels of the organization to provide the business compliance risk expertise and consulting for projects and initiatives.
  • Identify training opportunities, design/coordinate the development of training materials, and deliver training.
  • Provides consultation and support to various business stakeholders across Allspring departments regarding communication standards and regulatory no action and industry guidance.
CANDIDATE

We are seeking a knowledgeable and motivated individual to join our Global Sales Practice Compliance team. The successful candidate will have experience reviewing and approving marketing communications. We are seeking a candidate that can thrive in a fast-paced environment.

REQUIRED QUALIFICATIONS
  • FINRA Series 7 and Series 24
  • 10 years of experience in compliance, operational risk management, or combination of both; or
  • 10 years of experience reviewing and approving Investment Advisor/Broker Dealer marketing materials
  • Risk or compliance background
  • Solid understanding of broker/dealer/investment advisor regulatory requirements
  • Experience with the SEC Marketing Rule
  • Experience working with a Marketing Compliance Review System
  • Strong verbal/written communication skills
  • Must be able to multi-task and succeed in a fast-paced environment
PREFERRED QUALIFICATIONS
  • Prior experience working with international marketing communication
  • Prior experience working with Exchange Traded Funds (ETF) marketing communication
  • Strong leadership, collaboration and demonstrated ability to drive for results
  • Excellent verbal, written and interpersonal communication skills with experience communicating issues across various levels of management including regulators
  • Strong analytical and critical thinking skills with high attention to detail and accuracy
  • Proven ability to consistently meet deadlines


#LI-Hybrid

#LI-KC1

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)

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