Compliance Officer

Allspring Global Investments Holdings, LLC • Minneapolis, MN

7d • $100,000 - $125,000 • Hybrid

About The 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 4 days per week.
Location(s): Milwaukee, WI, Minneapolis, MN, or Charlotte, NC

Requirements

• 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.

Nice To Haves

• 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.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed