Senior Compliance Analyst

Allspring Global Investments Holdings, LLC•Boston, MA

1d•$85,000 - $100,000•Hybrid

About The Position

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.

Requirements

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 and Investment Advisers Act of 1940 and 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.

Nice To Haves

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

Responsibilities

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/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.