Senior Compliance Analyst

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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

The Team Member will be an integral part of the Allspring Regulatory Compliance team supporting the Allspring Global Investments Compliance Program activities including 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 support the Asset Management risk-based compliance program to assure compliance with significant regulatory requirements (i.e., SEC, CFTC, etc.) as well as firm policies. 

The Team Member will assist the Compliance manager in designing and developing compliance process, control activities, methodologies, compliance monitoring activities, and will consult with senior compliance and business management on compliance policies, procedures, and controls for the respective business/functional area. 

The Team Member will also ensure identified compliance issues are escalated, addressed and validated in accordance with firm Policies.  The team member will participate in compliance projects, as needed, including diving into specific regulatory developments and working groups.

Successful candidates will demonstrate the ability to apply critical thinking talents to make independent assessments, articulate recommendations, and defend conclusions.  

Successful candidates will be team players that interact thoughtfully, effectively and in a collaborative manner to complete department objectives. 

We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.

Location(s): Boston, MA, Charlotte, NC, Menomonee Falls, WI, Milwaukee, WI

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
• Evaluates the adequacy and effectiveness of present and future policies, procedures, processes. Consults with the business to develop corrective action plans and effectively manage change to ensure regulatory compliance with communication requirements. Will contribute to policy and procedure development and updates as necessary.
• Lead and manage projects with minimal supervision related to new products, regulations, or procedures for the Compliance team.
• Exercise effective