Compliance Officer

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 About Us - Allspring Global Investments.

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

As a Compliance Officer at Allspring Global Investments, you will have the unique opportunity to join our team and make a significant impact. In this role, you will be responsible for ensuring account guidelines are coded accurately, alerts are cleared appropriately and that required procedures and team tasks are completed timely. You will also have the chance to work on projects aimed at streamlining processes and contributing to the overall efficiency of our operations.

We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days per week.

Location(s): Milwaukee, WI, Minneapolis, MN, or Charlotte, NC

RESPONSIBILITIES

• Proficient in monitoring, toggling and clearing alerts as well as preparing and loading watchlists.
• Solid working knowledge in rule coding and guideline review
• Extensive knowledge of the trading systems for the purposes of coding and improving functionality.
• Understanding our role in the firm, regularly reaching out to teams beyond portfolio compliance, and consistently examining ways to mitigate firm risk.
• Independently lead and complete projects of any size.
• Concrete understanding of Allspring investment strategies, systems functionality and limitations to be able to work through any questions received.
• Are either the SME or consistently work independently off hours, managing team responsibilities with limited to no real-time supervision.
• Collaborate with all levels of the organization to provide business compliance risk expertise and consulting for projects and initiatives, fostering a culture of collaboration and inclusivity.
• Offer guidance and assistance to different teams within Allspring, helping them understand communication standards and navigate through regulatory requirements.

REQUIRED QUALIFICATIONS

• 10 years of compliance experience in the financial services industry, or related experience in Compliance, Legal or Risk Management.
• Experience working with order management systems Bloomberg AIM (or similar systems).
• Understanding of fixed income securities and investment strategies.
• Proven capability to recognize, assess, and address concerns consistently.
• Proven teamwork skills, collaborating effectively with diverse teams across the organization and office locations.
• Strong organizational skills and the ability to prioritize work in a fast-paced environment.
• Seeking an individual with strong strategic thinking skills and problem-solving abilities, who can contribute to the development of innovative solutions.
• Strong verbal and written communication skills, enabling you to effectively communicate complex information.
• Ability to multitask and succeed in a fast-paced environment, showcasing your ability to prioritize and meet deadlines with flawless execution.
• Proficient in Microsoft Office applications, showcasing strong PC skills.

PREFERRED QUALIFICATIONS

• Background in risk or compliance, giving you the necessary skills to navigate complex requirements.
• Strong leadership, collaboration, and demonstrated ability to drive for results, allowing you to effectively lead and inspire a team.
• Excellent interpersonal communication skills with experience communicating issues across various levels of management including regulators, enabling you to successfully navigate complex relationships.
• Strong analytical and critical thinking skills with high attention to detail and accuracy, ensuring flawless execution in your work.
• Proven ability to consistently meet deadlines, demonstrating your exceptional time management skills and ability to deliver results.
• Stable value investment experience or knowledge of stable value investment concepts a plus.

Base Pay Range: $100,000 - $125,000

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.)

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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.