Senior Compliance Analyst

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;
Boston, MA; or Milwaukee, WI

• 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 and 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.

• 5-10 years of experience in asset management compliance and/or comparable function
• Active FINRA Series 7, 24, and 63
• Strong understanding of and experience applying and analyzing the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the SEC Marketing Rule
• BS/BA degree or higher
• 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.

• 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

This position does not…