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Senior Compliance Analyst

2 months ago

Menomonee Falls, Wisconsin, United States Allspring Global Investments Full time
About the Role

We are seeking a highly skilled and experienced Compliance Analyst to join our team at Allspring Global Investments. As a key member of our Regulatory Compliance team, you will play a critical role in supporting the firm's compliance program activities, including managing books and records, leading information barrier compliance oversight, and coordinating international regulatory filings and reporting.

Key Responsibilities
  • Manage the firm's books and records requirements, ensuring accuracy and compliance with regulatory standards.
  • Support the NFA/CFTC program, including completing 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, ensuring the firm's policies and procedures are up-to-date and effective.
  • Evaluate the adequacy and effectiveness of present and future policies, procedures, processes, and consult with the business to develop corrective action plans.
  • 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.
Requirements
  • Minimum 2 years of experience in asset management compliance and/or comparable function.
  • Strong understanding of and experience applying and analyzing the Investment Company Act of 1940 and 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.
  • 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.
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. We strive to build portfolios aimed at generating successful outcomes for our clients 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.

We are an Equal Opportunity/Affirmative Action Employer and 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.