Job description

The position specifically supports Allspring Compliance. The Senior Associate Compliance position resides within the Allspring Legal Risk & Compliance department on the Distribution and Communication Compliance Team. The role is responsible for compliance oversight of communication and global distribution activities of various investment advisors and the broker dealer under the Allspring Global Investments umbrella. We are seeking a knowledgeable and motivated individual to join our Compliance Team.
Primary Duties and Responsibilities:
Responsibilities of this position include, but are not limited to:

• 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.
• Experience with Registered Investment Advisor (RIA) and broker dealer industry with exposure to compliance and regulatory communication standards in a financial services environment.
• Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities.
• Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function.
• Lead and manage projects with minimal supervision related to new products, regulations, or procedures.
• Designs and develops complex testing strategies, methodologies and analyses; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.
• Identifies training opportunities; designs/coordinates the development of training materials and coordinates or delivers training.
• Reports findings and recommendations to Manger, executive management or management committee member/head of business.
• Provides consultation and support to various business stakeholders across Allspring departments regarding communication standards and regulatory no action and industry guidance.
• 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.
• May be involved in or support Compliance review and approval of advisor/ broker dealer marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements including SEC or FINRA.

Required Qualifications:

• 6+ years of experience in compliance, operational risk management, or a combination of both; or
• 6+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both

Expected Competencies:

• Risk or compliance background
• Solid understanding of broker/dealer regulatory requirements
• Experience reviewing communications for international regulatory considerations.
• Strong verbal/written communication skills
• Must be able to multi-task and succeed in a fast-paced environment

Desired Qualifications:

• Active FINRA Series 7 and 24 licenses (or recognized FINRA equivalents) or ability to obtain
• Prior experience performing international communication review
• Ability to interact with all levels of an organization
• Strong leadership, collaboration and demonstrated ability to drive for results
• Excellent verbal, written, and interpersonal communication skills with experience communicating issues across various levels of management
• Strong analytical and critical thinking skills with high attention to detail and accuracy
• Experience reviewing complex business processes, evaluating adequacy and effectiveness of communication policies, procedures, processes and internal controls
• Proven ability to consistently meet deadlines
• Good working knowledge of the Investment Advisor Advertising/Global Performance Investment Standards and Communication with the Public Standards
• Experience with regulatory and vended communication reporting or workflow tools (FINRA Gateway, AREF,)

Other Desired Skills:

• Advanced Microsoft Office skills and familiarity with working with collaboration tools such as Microsoft Teams.
• Education- A BS/BA degree or higher
• Experience with regulatory communication review and reporting tools

Licenses & Certifications
Required

• Series 7
• Series 24

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)

Job Type: Full-time

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