- Support the centralized monitoring program by performing risk-based testing and oversight reviews, electronic communication monitoring, and market abuse testing.
- Identify, escalate, address, and validate potential policy violations identified through monitoring activities.
- Partner with business and compliance colleagues to enhance and develop compliance controls and new compliance testing requirements.
- Exercise effective communication and promote positive relationships with compliance team members and business partners.
- Assist with responding to client requests and regulatory inquiries.
- Support key business and compliance initiatives.
- 1-3 years of experience in asset management or broker-dealer risk function (includes compliance, financial crimes, operational risk, audit, credit risk, market risk, business process management) or 3+ years of financial services industry experience.
- BS/BA degree or higher.
- Excellent verbal, written, and interpersonal communication skills.
- Strong analytical skills with high attention to detail and accuracy.
- Ability to work independently or in collaboration with others in a fast-paced and deadline driven environment.
- Experience utilizing transaction-based monitoring and surveillance tools.
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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
Allspring is looking for a Compliance Analyst that will be an integral part of the Allspring Compliance Team.The Compliance Analyst will primarily support the centralized Compliance monitoring program for Allspring Global Investments by performing testing, monitoring and other Compliance program related activities.
RESPONSIBILITIES
Candidate should be a 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 outcomes.
REQUIRED QUALIFICATIONS
#LI-Hybrid
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)
