Financial Crimes Compliance Officer

Allspring Global Investments Holdings, LLC; Charlotte (NC); Hybrid; USD 100,000 - 130,000; Full time

Job summary

Allspring Global Investments Holdings, LLC is seeking an AML/Financial Crimes Compliance professional to help oversee and execute the company's risk-based compliance program across the global business. You will support AML, sanctions, fraud risk management, customer due diligence, investigations, and governance activities in a collaborative team.

The role is based in Charlotte, NC or Milwaukee, WI with a hybrid schedule requiring in-office presence four days per week.

Qualifications

• 5+ years of experience in AML, sanctions compliance, KYC/CDD, financial crimes investigations, compliance testing, or related financial crimes compliance functions.
• Ability to apply risk-based judgment to investigate, assess, and resolve financial crimes matters.
• Knowledge of AML, sanctions, and related regulatory requirements.
• Experience developing, implementing, or enhancing policies, procedures, controls, or governance frameworks.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills.
• Ability to communicate effectively with audiences in person and in electronic formats.
• Ability to work in a collaborative business environment in close quarters with peers and varying interruptions.
• Remain in stationary position for prolonged periods of time.
• Experience supporting financial crimes programs within asset management, investment adviser, banking, broker-dealer, or wealth management industries.
• ACAMS, CGSS, CFCS, or similar certification preferred, or willingness to obtain such certification after hire.

Responsibilities

• Support the execution and enhancement of Allspring's AML, sanctions, fraud, and anti-bribery and corruption compliance programs.
• Review, investigate, and disposition financial crimes-related alerts and escalations, including sanctions screening matches, suspicious activity, adverse media, fraud concerns, and customer due diligence matters.
• Conduct financial crimes risk assessments, monitoring activities, and targeted reviews to identify emerging risks and control enhancements.
• Assist with the development, maintenance, and enhancement of financial crimes policies, procedures, standards, and related governance documentation.
• Evaluate the effectiveness of financial crimes controls through testing, issue reviews, audit support, and ongoing monitoring activities.
• Support transaction monitoring, investigations, suspicious activity assessments, and related financial crimes compliance activities, including documenting findings and preparing regulatory or internal reporting as appropriate.
• Partner with business, operational, legal, and compliance stakeholders to address financial crimes risks and support escalations.
• Support audit, regulatory examination, and internal review activities by preparing materials, responding to information requests, and assisting with remediation efforts.

Skills

AML

Sanctions compliance

KYC/CDD

Investigations

Policy development

Regulatory knowledge

Analytical skills

Communication

Job description

Overview

Financial Crimes Compliance (FCC) is responsible for the oversight and execution of a risk-based financial crimes compliance program across Allspring’s global business.

This role supports a broad range of financial crimes compliance activities, including anti-money laundering (AML), sanctions compliance, fraud risk management, customer due diligence, investigations, monitoring, risk assessments, and program governance. The position partners with stakeholders across the organization to identify, assess, and mitigate financial crimes risks while supporting compliance with applicable regulatory requirements. The role reports to the Head of Financial Crimes Compliance.

We currently operate in a hybrid working model, whereby you will be required to work in-office 4 days per week.

Location(s): Charlotte, NC, or Milwaukee, WI

Responsibilities

• Support the execution and enhancement of Allspring's AML, sanctions, fraud, and anti-bribery and corruption compliance programs.
• Review, investigate, and disposition financial crimes-related alerts and escalations, including sanctions screening matches, suspicious activity, adverse media, fraud concerns, and customer due diligence matters.
• Conduct financial crimes risk assessments, monitoring activities, and targeted reviews to identify emerging risks and control enhancements.
• Assist with the development, maintenance, and enhancement of financial crimes policies, procedures, standards, and related governance documentation.
• Evaluate the effectiveness of financial crimes controls through testing, issue reviews, audit support, and ongoing monitoring activities.
• Support transaction monitoring, investigations, suspicious activity assessments, and related financial crimes compliance activities, including documenting findings and preparing regulatory or internal reporting as appropriate.
• Partner with business, operational, legal, and compliance stakeholders to address financial crimes risks and support escalations.
• Support audit, regulatory examination, and internal review activities by preparing materials, responding to information requests, and assisting with remediation efforts.

Qualifications

Required Qualifications

• 5+ years of experience in AML, sanctions compliance, KYC/CDD, financial crimes investigations, compliance testing, or related financial crimes compliance functions.
• Experience applying risk-based judgment to investigate, assess, and resolve financial crimes compliance matters.
• Knowledge of AML, sanctions, and related financial crimes regulatory requirements.
• Experience developing, implementing, or enhancing policies, procedures, controls, or governance frameworks.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills with the ability to communicate complex issues to diverse audiences.
• Remain in stationary position for prolonged periods of time.
• Ability to communicate effectively with audiences in person and in electronic formats.
• Day-to-day contact with others (co-workers and/or public).
• Ability to work in a collaborative business environment in close quarters with peers and varying interruptions.

Preferred Qualifications

• Experience supporting financial crimes compliance programs within the asset management, investment adviser, banking, broker-dealer, or wealth management industries.
• Experience supporting customer due diligence, enhanced due diligence, and ongoing monitoring programs.
• Experience reviewing sanctions screening alerts and sanctions-related escalations.
• Experience supporting audits, regulatory examinations, or compliance testing activities.
• Familiarity with registered investment companies, transfer agent operations, or fund shareholder AML programs.
• ACAMS, CGSS, CFCS, or similar professional certification preferred, or willingness to obtain such certification after hire.

Please note: This position does not offer sponsorship for employment visas. Applicants must be legally authorized to work in The United States without sponsorship now or in the future.

Compensation

Base Pay Range: $100,000 - $130,000

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary bonus programs, or other annual or non-annual incentive or sales plans.)

Disclosure

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.