Allspring Global Investments
Senior Client Analyst
Allspring Global Investments, Charlotte, North Carolina, United States, 28245
Overview
Senior Compliance Analyst
at
Allspring Global Investments
— Join to apply for this role with a global conduct and ethics focus within the Compliance organization. The Conduct and Ethics Team addresses conduct risk, manages conflicts of interest, and oversees areas such as personal securities reporting, outside business activities, gifts and entertainment, political contributions, and other conduct risk factors. The role reports to the Global Head of Conduct and Ethics and supports monitoring to ensure regulatory requirements are met and conflicts are mitigated in line with firm policies, including the Code of Ethics. The position involves collaboration with business units to ensure ongoing compliance with policies and applicable law and to provide training and guidance to mitigate conduct risk. The team also collaborates with our technology solutions provider (FIS ECM). This is a hybrid role requiring in-office work three days per week. Location options: Boston, MA; Charlotte, NC; or Milwaukee, WI. Note : The description includes related roles and company information that are not directly part of this specific job; only the responsibilities and qualifications below are specific to the Senior Compliance Analyst role. 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 Location
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 incentive programs (e.g., discretionary bonuses, or other incentive or sales 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, gender identity, or any other protected status. Seniority level : Mid-Senior level Employment type : Full-time Job function : Legal
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Senior Compliance Analyst
at
Allspring Global Investments
— Join to apply for this role with a global conduct and ethics focus within the Compliance organization. The Conduct and Ethics Team addresses conduct risk, manages conflicts of interest, and oversees areas such as personal securities reporting, outside business activities, gifts and entertainment, political contributions, and other conduct risk factors. The role reports to the Global Head of Conduct and Ethics and supports monitoring to ensure regulatory requirements are met and conflicts are mitigated in line with firm policies, including the Code of Ethics. The position involves collaboration with business units to ensure ongoing compliance with policies and applicable law and to provide training and guidance to mitigate conduct risk. The team also collaborates with our technology solutions provider (FIS ECM). This is a hybrid role requiring in-office work three days per week. Location options: Boston, MA; Charlotte, NC; or Milwaukee, WI. Note : The description includes related roles and company information that are not directly part of this specific job; only the responsibilities and qualifications below are specific to the Senior Compliance Analyst role. 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 Location
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 incentive programs (e.g., discretionary bonuses, or other incentive or sales 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, gender identity, or any other protected status. Seniority level : Mid-Senior level Employment type : Full-time Job function : Legal
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