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Compliance Risk Manager

2 months ago

Menomonee Falls, Wisconsin, United States Allspring Global Investments Full time

About Allspring Global Investments

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.

Our Vision

We strive to inspire a new era of investing that pursues both financial returns and positive outcomes. With decades of trusted experience propelling us forward, we aim to build portfolios that generate successful outcomes for our clients.

Our Approach

We leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. We foster a diverse and inclusive culture that empowers innovation, productivity, and engagement.

Job Summary

The Team Member will be an integral part of the Allspring Regulatory Compliance team, supporting the Allspring Global Investments Compliance Program activities. This includes managing the firm's books and records requirements, leading the information barrier compliance oversight process, coordinating international regulatory filings and reporting, supporting the NFA/CFTC program, and various projects and compliance oversight activities to ensure compliance with significant regulatory requirements and firm policies.

Key Responsibilities

  • Manage the firm's books and records requirements
  • Assist in supporting the NFA/CFTC program
  • Complete international and domestic regulatory filings and reporting
  • 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
  • Conduct information barrier compliance oversight activities
  • Evaluate the adequacy and effectiveness of present and future policies, procedures, processes, and consult with the business to develop corrective action plans and effectively manage change to ensure regulatory compliance with communication requirements
  • 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

Required Qualifications

  • Years of experience in asset management compliance and/or comparable function
  • Strong understanding of and experience applying and analyzing the Investment Company Act of and Investment Advisers Act of
  • 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 (Investment Advisers/Company 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