Overview
The Team Member will be an integral part of the Allspring Compliance Program team supporting the Allspring Global Investments Compliance Program activities for a registered investment adviser including supporting the firm’s regulatory filings and reporting, regulatory compliance, 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 role includes partnering with various partners globally – including but not limited to Operations, Investment, Legal, Risk, and Audit teams at all levels. 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.
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
- Assist in supporting the NFA/CFTC program
- Complete regulatory filings and reporting
- Work effectively with Compliance and business line subject matter experts to implement and maintain compliance program activities
- Communicate, escalate, address and validate issues identified during compliance program reviews.
- Partner with Business and support functions within Allspring to enhance and develop compliance controls
- Evaluates the adequacy and effectiveness of present and future policies, procedures, processes. Consults with the business to develop corrective action plans and effectively manage change to ensure regulatory compliance with communication requirements. Will contribute to policy and procedure development and updates as necessary.
- Lead and manage projects with minimal supervision related to new products, regulations, or procedures for the Compliance team.
- Exercise effective communication and promote positive relationships with business team members and management.
- Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance;
- Perform other duties as assigned
Qualifications
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
- 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 identify and manage various conflicts of interest
- 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
- Ability to work independently and collaboratively in a cross-functional environment.
- 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
- Demonstrate ownership beyond assigned tasks by identifying issues, proposing solutions, and contributing to final decision-making
- Demonstrates an “audit‑ready” mindset, approaching work with the expectation that decisions, data, and documentation may be subject to review.
- Familiarity with regulatory reporting and disclosure requirements applicable to SEC Registered Investment Advisers, including Form ADV, Schedule 13G, Schedule 13F, and Form PF.
- Experience with firms registered with the National Futures Association as Commodity Trading Advisors and Commodity Pool Operators.
- Ability to understand and work within complex corporate and multi‑entity structures, including how regulatory obligations apply across affiliated investment advisers and related entities.
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 - $105,000
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