Compliance Officer

Overview

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, that required procedures and team tasks are completed timely, and the monitoring and testing of business controls. 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): Charlotte, NC, or Milwaukee, WI

Responsibilities

• Proficient in monitoring, toggling and clearing alerts as well as preparing and loading watchlists.
• Working knowledge of the trading systems for the purpose of coding and improving functionality.
• Monitor and test business controls against regulatory requirements and internal procedures.
• Elevate concerns or issues while providing analysis on how to resolve.
• Ability to work independently on small projects. Coordinating with the various teams as needed to complete project and working through to completion.
• Ability to lead escalated issues resolution to completion.
• Ability to identify gaps in our processes and work to resolve.
• 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.
  
  

Qualifications

Required Qualifications

• 7 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, Charles River or similar systems.
• 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.
• Ability to work at a computer and use standard business software for extended periods during the workday.
• Communicate effectively with colleagues, clients, and business partners in person and electronically as needed.
• Engage in regular in-person interaction and collaboration with team members and other stakeholders.
• Work effectively in a professional office environment with ongoing collaboration, activity, and shifting priorities.
• Maintain productivity and focus while balancing multiple tasks and interruptions common in an in-person business setting.
  
  

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.
  
  

Please note : This position does not offer sponsorship for employment visas. Applicants must be legally authorized to work in The United States without sponsorship now or in the future.

Compensation

Base Pay Range: $125,000 - $140,000

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.)

Disclosure

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