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

This role will be an integral part of Allspring Funds Management's (AFM) Compliance team, within Allspring's broader global Compliance organization. The AFM Compliance team ensures that the adviser program to Allspring's U.S. registered funds, the retail separately managed accounts business, and other activities of the AFM entity comply with applicable laws, regulatory requirements, policies, and procedures.

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

Location(s): Boston, MA; Charlotte, NC

RESPONSIBILITIES

• Report to the Chief Compliance Officer of AFM and execute on key initiatives to support the AFM Compliance team, and the broader Compliance organization
• Maintain a thorough understanding of Allspring's business activities and its policies and procedures
• Develop strong relationships with key business partners, while providing appropriate and timely responses to business line and other inquiries
• Collaborate with colleagues to implement and maintain policies and procedures, and develop and execute compliance program monitoring activities
• Identify, evaluate, and escalate potential issues identified during compliance program reviews and work collaboratively with stakeholders to resolve
• Produce reporting and analysis of compliance program reviews to be presented to relevant committees, boards, and senior management
• Lead and manage projects, with minimal supervision, related to new regulations, products, policies, or procedures
• Perform other duties as assigned

REQUIRED QUALIFICATIONS

• 5-10 years of broad compliance experience (or related experience, such as Legal or Risk Management) in the financial services industry
• Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and capability to review and analyze regulations
• Experience with the design and administration of investment adviser and fund compliance programs
• Demonstrated ability to identify, evaluate, escalate, and resolve issues
• Ability to interpret client investment agreements, legal documents, policies & procedures, and regulatory guidelines
• Proven teamwork skills, and ability to work in collaboration across various teams
• Strong organizational skills, and ability to manage and prioritize work in a fast-paced environment with minimal supervision
• Strong analytical skills with high attention to detail and accuracy
• Strategic thinker and problem solver
• Positive attitude and highly motivated
• Excellent verbal, written, and interpersonal communication skills
• Strong PC skills (Office)
• Bachelor's degree or equivalent

Base Pay Range: $105,000 - $135,000

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.