Allspring Global Investments
Senior Client Analyst
Allspring Global Investments, Milwaukee, Wisconsin, United States, 53244
Overview
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Senior Compliance Analyst
role at
Allspring Global Investments . Location: Boston, MA; Charlotte, NC; or Milwaukee, WI. This position operates in a hybrid model, with in-office work required 3 days a week. Responsibilities
Maintain a thorough understanding of Allspring’s global business activities and its policies and procedures, including the Code of Ethics and relevant policies to manage conduct risk Perform daily and periodic conduct risk monitoring activities and forensic testing, including monitoring of personal investments, outside business activities, gifts and entertainment, political contributions, and other areas of potential conflicts of interest Identify and analyze potential conduct matters, and work collaboratively with stakeholders to resolve Produce reporting and analysis of conduct risk to be presented to relevant committees, boards, and senior management Assist with the development and administration of periodic conduct risk related trainings and certifications Execute on key initiatives to support the Conduct and Ethics Team, and the broader Compliance Organization Required Qualifications
4+ years of broad compliance experience (or related experience, such as Legal or Risk Management) in the financial services industry Experience with the design and administration of investment adviser, mutual fund, and broker-dealer code of ethics and related policies Experience with employee compliance monitoring systems (preferably FIS ECM) Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and capability to review and analyze regulations Demonstrated ability to identify, evaluate, and escalate issues Proven teamwork skills, and ability to work in collaboration across various teams Strong organizational skills, and ability to manage and prioritize work in a fast-paced environment Strategic thinker and problem solver Positive attitude and highly motivated Excellent verbal, written, and interpersonal communication skills Must have strong PC skills (Office) Bachelor’s degree or equivalent Preferred Qualifications
FINRA Series 7, 66 or 65, and 24 Compensation and Benefits
Base Pay Range: $85,000 - $105,000 Actual base salary may vary based upon relevant experience, time in role, base salary internal peers, prior performance, business sector, and geographic location. In addition to base salary, the compensation package may include participation in an incentive program (e.g., annual discretionary bonus programs or other incentive plans). Equal Opportunity
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, or gender identity or any other protected status. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Legal
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Join to apply for the
Senior Compliance Analyst
role at
Allspring Global Investments . Location: Boston, MA; Charlotte, NC; or Milwaukee, WI. This position operates in a hybrid model, with in-office work required 3 days a week. Responsibilities
Maintain a thorough understanding of Allspring’s global business activities and its policies and procedures, including the Code of Ethics and relevant policies to manage conduct risk Perform daily and periodic conduct risk monitoring activities and forensic testing, including monitoring of personal investments, outside business activities, gifts and entertainment, political contributions, and other areas of potential conflicts of interest Identify and analyze potential conduct matters, and work collaboratively with stakeholders to resolve Produce reporting and analysis of conduct risk to be presented to relevant committees, boards, and senior management Assist with the development and administration of periodic conduct risk related trainings and certifications Execute on key initiatives to support the Conduct and Ethics Team, and the broader Compliance Organization Required Qualifications
4+ years of broad compliance experience (or related experience, such as Legal or Risk Management) in the financial services industry Experience with the design and administration of investment adviser, mutual fund, and broker-dealer code of ethics and related policies Experience with employee compliance monitoring systems (preferably FIS ECM) Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and capability to review and analyze regulations Demonstrated ability to identify, evaluate, and escalate issues Proven teamwork skills, and ability to work in collaboration across various teams Strong organizational skills, and ability to manage and prioritize work in a fast-paced environment Strategic thinker and problem solver Positive attitude and highly motivated Excellent verbal, written, and interpersonal communication skills Must have strong PC skills (Office) Bachelor’s degree or equivalent Preferred Qualifications
FINRA Series 7, 66 or 65, and 24 Compensation and Benefits
Base Pay Range: $85,000 - $105,000 Actual base salary may vary based upon relevant experience, time in role, base salary internal peers, prior performance, business sector, and geographic location. In addition to base salary, the compensation package may include participation in an incentive program (e.g., annual discretionary bonus programs or other incentive plans). Equal Opportunity
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, or gender identity or any other protected status. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Legal
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