- 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 communication and promote positive relationships with business team members and management.
- Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance;
- Perform other duties as assigned
- 5-10 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 (e.g. Investment Advisers/Company Act, and other laws as applicable)
- 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
- Able to meet less-clearly defined demands with minimal guidance and supervision
- Highly motivated self-starter able to be successful in a working environment that requires flexibility and independence with ambiguous situations and constant change to achieve desired outcome/objectives
- Able to evaluate complex programs and initiatives and provide credible challenge to opportunities and concerns
- Experience with issue resolution including root cause analysis, mitigation plans and remediation activities
- Pragmatic problem-solver, forward thinker
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Senior Compliance Analyst - Menomonee Falls, United States - Allspring Global Investments
Description
Elevate Your Career
Work where your ideas have impact
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.
Responsibilities
Required Qualifications
#LI-KC1
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.
#LI-Hybrid
Equal Opportunity Employer/Protected Veterans/Individuals with DisabilitiesThe 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)
Senior Compliance Analyst professionals in Menomonee Falls
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Destry Jeter
Operations Executive | P&L Owner | Coach