- 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
- 3+ 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
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Senior Compliance Analyst - Boston, United States - Allspring
Description
Elevate Your CareerWork where your ideas have impact
COMPANY
Allspring Global InvestmentsTM 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 visitAbout 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 Senior Compliance Analyst will be an integral member of the global Conduct and Ethics Team, within the Compliance organization. The Conduct and Ethics Team is focused on addressing conduct risk at the firm and managing potential conflicts of interests, which includes overseeing personal securities reporting, outside business activities, gifts and entertainment, political contributions, and other areas of conduct risk.
This role will report directly to the Chief Ethics Officer and support the team's oversight and monitoring of conduct risk to ensure that global regulatory requirements are met and conflicts of interest are mitigated and managed in accordance with the firm's policies, including the Code of Ethics.
The Senior Compliance Analyst will work closely with all business units to ensure ongoing compliance with our policies and applicable law, which includes providing comprehensive training and guidance that effectively mitigates conduct risk. The employee will also contribute to ongoing collaboration with our technology solutions provider (FIS ECM).
RESPONSIBILITIES
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.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)
