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Senior Compliance Analyst

3 months ago

Dorchester Center, United States The Ladders Full time
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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

We are seeking a knowledgeable and motivated Compliance professional to support Allspring's growing retail managed accounts business. The successful candidate will have extensive experience administering compliance programs for registered investment advisers that provide retail and institutional investment advisory services (e.g. model delivery, discretionary trading, etc.). Reporting into the Chief Compliance Officer of Allspring Funds Management, LLC, the Senior Compliance Analyst will primarily support the Compliance program functions of Allspring's retail managed accounts business. The role includes partnering with various partners around the globe - including but not limited to product and operational personnel, investment teams, attorneys, auditors, and third-party organizations. The Senior Compliance Analyst will provide oversight and challenge to business compliance activities and will execute certain activities to assure compliance with significant regulatory requirements (i.e. Investment Advisers Act of 1940, Investment Company Act of 1940, etc.) as well as firm policies.

RESPONSIBILITIES

  • Develop strong relationships with key business and risk partners, while providing appropriate and timely responses to business line and other inquiries.
  • Maintain an understanding of Allspring's operations and regulatory guidance/expectations
  • Test, draft, and provide advice and guidance on 206(4)-7 policies & procedures, as well as regulations
  • Conduct third-party due diligence
  • Assist with responding to regulatory inquiries
  • Support key business and other initiatives
  • Work effectively with Compliance and business line subject matter experts to implement and maintain compliance program activities
  • Communicate, escalate, address and validate issues identified during compliance program reviews.
  • Partner with business and support functions within Allspring to enhance and develop compliance controls
  • Lead and manage projects with minimal supervision related to new products, regulations, or procedures for the Compliance team
  • Exercise effective communication and promote positive relationships with business team members and management
  • Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance
  • Perform other duties as assigned
REQUIRED QUALIFICATIONS
  • 5-10 years of experience in asset management compliance and/or comparable function
  • Strong understanding of and experience applying and analyzing the Investment Advisers Act of 1940
  • BS/BA degree or higher
  • Excellent verbal, written, and interpersonal communication skills
  • Able to interpret client investment agreements, legal documents, policies & procedures, and regulatory guidelines (e.g. Investment Advisers Act, and other laws as applicable)
  • Strong analytical skills with high attention to detail and accuracy
  • Strong oral/written communication and interpersonal skills; able to effectively interact with senior management, investment personnel, and clients
  • Ability to identify and manage various conflicts of interest
  • Ability to work independently and in collaboration with others in a fast-paced, global, deadline driven environment
  • Able to meet less-clearly defined demands with minimal guidance and supervision
  • Highly motivated self-starter able to be successful in a working environment that requires flexibility and independence with ambiguous situations and constant change to achieve desired outcome/objectives
  • Able to evaluate complex programs and initiatives and provide credible challenge to opportunities and concerns
  • Experience with issue resolution including root cause analysis, mitigation plans and remediation activities
  • Pragmatic problem-solver, forward thinker
  • Experience conducting policy & procedure testing and drafting.
  • Experience conducting third-party due diligence.
PREFERRED QUALIFICATIONS
  • Experience working with the Investment Company Act of 1940
  • Experience working for an SEC-registered investment adviser that offers investment advisory services (e.g. model delivery, discretionary trading, etc.) to financial advisors and other intermediaries.


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)