Senior Compliance Analyst

Allspring Global Investments; Charlotte (NC); Hybrid; USD 85,000 - 110,000; Full time

Job summary

Allspring Global Investments in the United States seeks a Senior Compliance Analyst to support global distribution compliance, including sales practices and reviews of communications for broker-dealers and investment advisers. The role sits in the Global Sales Practice Team and operates in a hybrid model, with in-office work four days per week in Charlotte, NC or Milwaukee, WI.

The position requires in-depth knowledge of the Investment Company Act of 1940, the Investment Advisers Act, and the

Qualifications

• 5-10 years of asset management compliance experience.
• Strong understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the SEC Marketing Rule.
• BS/BA degree or higher.
• Active FINRA Series 7 and 24 licenses (or equivalents) or willingness to obtain.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to interpret client investment agreements, policies & procedures, and regulatory requirements.
• Strong analytical skills with high attention to detail and accuracy.
• Ability to interact with senior management, investment personnel, and clients.
• Ability to work independently and in a fast-paced, global environment.
• Self-starter with flexibility and independence in ambiguous situations.

Responsibilities

• Compliance review and approval of domestic and international marketing materials and electronic communications for regulatory compliance.
• Lead and manage projects related to new products, regulations, or procedures.
• Oversee the Allspring marketing review program across distribution, investments, and marketing.
• Develop and monitor risk-based compliance programs to meet regulatory requirements.
• Design testing strategies and identify issues from internal/external examinations.
• Identify training opportunities and deliver training materials.
• Report findings and recommendations to management.
• Research regulatory developments and implement changes to the compliance program.

Skills

Analytical skills

Communication skills

Project management

Regulatory interpretation

Team collaboration

Education

BS/BA degree or higher

Job description

Overview

This role supports Allspring Compliance and sits within the Global Sales Practice Team. The Senior Compliance Analyst helps oversee compliance for global distribution activities, including sales practices and communications reviews for broker-dealers and investment advisers in the U.S. and internationally across Allspring Global Investments. We are seeking a knowledgeable and motivated professional to join the Allspring Compliance Team.

Overview

This role supports Allspring Compliance and sits within the Global Sales Practice Team. The Senior Compliance Analyst helps oversee compliance for global distribution activities, including sales practices and communications reviews for broker-dealers and investment advisers in the U.S. and internationally across Allspring Global Investments. We are seeking a knowledgeable and motivated professional to join the Allspring Compliance Team. 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

• Compliance review and approval of domestic and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements including but not limited to SEC, FINRA, and various other international regulators.
• Lead and manage projects with minimal supervision related to new products, regulations, or procedures.
• Oversee various aspects of the Allspring marketing review program and collaboration across various business units including distribution, investments and marketing.
• Responsible for developing, implementing and monitoring risk-based compliance programs to ensure compliance with federal, state, agency, legal and regulatory requirements.
• Design and develop complex testing strategies, methodologies and analyses; evaluate the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identify issues resulting from internal and/or external compliance examinations.
• Identify training opportunities; design/coordinate/deliver training materials.
• Report findings and recommendations to Manager, executive management or management committee member/head of business.
• Research new regulatory developments in the industry including impact for communication and distribution focused areas, identify the impacts to the business, and recommend changes required to the compliance program. Assist manager with implementation of changes as appropriate.

Required Qualifications

• 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 and SEC Marketing Rule
• BS/BA degree or higher
• Active FINRA Series 7 and 24 licenses (or recognized FINRA equivalents) or willingness to obtain
• Excellent verbal, written, and interpersonal communication skills
• Able to interpret client investment agreements, policies & procedures, and regulatory requirements (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 work independently and in collaboration with others in a fast-paced, global, deadline driven environment
• 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
• Remain in stationary position for prolonged periods of time
• Operate computer programs and software
• 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

• Prior experience working with international products, distribution activities and regulations
• Knowledge and use of AI
• Ability to interact with all levels of an organization
• Strong leadership, collaboration and demonstrated ability to drive for results
• Experience working with regulators
• Proven ability to consistently meet deadlines

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: $85,000 - $110,000. 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