Senior Compliance Analyst — Regulatory Filings & Risk

Allspring Global Investments Holdings, LLC; Milwaukee (WI); Hybrid; USD 85,000 - 105,000; Full time

Job summary

Allspring Global Investments Holdings, LLC seeks a compliance team member to support its robust compliance program as a registered investment adviser. The ideal candidate will have 5-10 years of experience in asset management compliance and demonstrate exceptional analytical skills and effective communication. This role involves regulatory filings, collaborating with various teams, and ensuring compliance with regulations. The position follows a hybrid working model, requiring in-office presence four days a week.

Qualifications

• 5-10 years of experience in asset management compliance.
• Ability to work in a fast-paced environment.
• Experience with issue resolution including root cause analysis.

Responsibilities

• Assist in supporting the NFA/CFTC program.
• Complete regulatory filings and reporting.
• Lead and manage compliance projects.
• Evaluate adequacy of current compliance policies.

Skills

Strong analytical skills

Excellent verbal communication

Attention to detail

Ability to manage conflicts of interest

Independently and collaboratively work

Education

BS/BA degree or higher

Job description

Allspring Global Investments Holdings, LLC seeks a compliance team member to support its robust compliance program as a registered investment adviser. The ideal candidate will have 5-10 years of experience in asset management compliance and demonstrate exceptional analytical skills and effective communication. This role involves regulatory filings, collaborating with various teams, and ensuring compliance with regulations. The position follows a hybrid working model, requiring in-office presence four days a week.