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Allspring Global Investments · 1 day ago

Compliance Officer

Charlotte, NC

Full-time

Hybrid

Senior Level, Lead/Staff

$100K/yr - $125K/yr

10+ years exp

Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions. As a Compliance Officer, you will be responsible for ensuring account guidelines are coded accurately and alerts are cleared appropriately, while also working on projects aimed at streamlining processes and enhancing operational efficiency.

Asset ManagementConsultingFinanceFinancial Services

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

Qualification

Compliance experienceOrder management systemsFixed income securitiesStrategic thinkingProblem-solvingVerbal communicationWritten communicationMicrosoft OfficeTeamworkOrganizational skillsAttention to detail

Required

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

Preferred

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

Benefits

Participation in an incentive program linked to performance (for example, annual discretionary bonus programs, or other annual or non-annual incentive or sales plans)