Senior Compliance Analyst
Company: Allspring Global Investments
Location: Menomonee Falls
Posted on: September 27, 2024
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Job Description:
DescriptionElevate Your Career
Work where your ideas have impact
COMPANY
Allspring Global Investments 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 visit .
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
The Team Member will be an integral part of the Allspring
Regulatory Compliance team supporting the Allspring Global
Investments Compliance Program activities including managing the
firm's books and records requirements, leading the information
barrier compliance oversight process, coordinating international
regulatory filings and reporting, supporting the NFA/CFTC program,
and various projects and compliance oversight activities to support
the Asset Management risk-based compliance program to assure
compliance with significant regulatory requirements (i.e., SEC,
CFTC, etc.) as well as firm policies.
The Team Member will assist the Compliance manager in designing and
developing compliance process, control activities, methodologies,
compliance monitoring activities, and will consult with senior
compliance and business management on compliance policies,
procedures, and controls for the respective business/functional
area.
The Team Member will also ensure identified compliance issues are
escalated, addressed and validated in accordance with firm
Policies. The team member will participate in compliance projects,
as needed, including diving into specific regulatory developments
and working groups.
Successful candidates will demonstrate the ability to apply
critical thinking talents to make independent assessments,
articulate recommendations, and defend conclusions.
Successful candidates will be team players that interact
thoughtfully, effectively and in a collaborative manner to complete
department objectives.
Responsibilities
Required Qualifications
#LI-KC1
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.
#LI-Hybrid
Equal Opportunity Employer/Protected Veterans/Individuals with
DisabilitiesThe 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 60-1.35(c)
Keywords: Allspring Global Investments, Waukesha , Senior Compliance Analyst, Professions , Menomonee Falls, Wisconsin
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