Senior Compliance Analyst – Hybrid (Global Asset Management)

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

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