Deputy Chief Compliance Officer
Boston, MA  / New York, NY  / San Francisco, CA  / Charlotte, NC  / Menomonee Falls, WI ...View All
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Posted 19 days ago
Job Description
Description

This position will be accountable to the Allspring Global Chief Compliance Officer. This position must foster a collaborative environment that ensures timely communication and strong cooperation between the business, compliance, legal, risk, and audit teams. The ideal candidate will serve as a catalyst for sound compliance management practices and strengthen the compliance culture for Allspring. Responsibilities will include:


* Assist the Global CCO with the management of the Compliance Program in support of regulated investment activities conducted by Allspring Global Investments, which includes but is not limited to policy development, regulatory analysis, compliance testing and monitoring, ethics, and privacy
* Enhance the culture of compliance by working with key internal stakeholders in the review of new products and strategic initiatives to ensure they align with regulatory expectations
* Serve as a primary point of contact and liaison for regulators along with the Global CCO on all regulatory exams and inquiries
* Report to senior management on the Compliance Program, regulatory developments, and high priority issues requiring remediation
* Represent Compliance in relevant Allspring committees and legal entity boards to provide regulatory guidance, issue constructive challenge, and present key risks associated with business initiatives, control development, and conduct matters
* Collaborate with Risk and Legal on the continued development of the risk taxonomy, risk assessment, and monitoring and testing program to ensure the role of Compliance is clearly defined
* Direct and manage staff responsible for ensuring Allspring's activities are in compliance with all regulatory requirements, and manage decisions regarding employment performance appraisals and compensation.
* Promote the values of Allspring Compliance with employees with an emphasis on acting with integrity, collaborating with business partners, thinking creatively, embracing diversity, and implementing a team-first mindset
The successful candidate will work closely with the Global CCO and other senior leaders across Allspring to embed a strong compliance culture across the firm. Accordingly, critical success factors will include the ability to develop partnerships with many business functional areas.
The Candidate
Leadership, integrity, and credibility will be determining factors in selection. The role requires a leader with strong relationship management skills, the ability to influence decision making, being results-orientated, and willingness to strive for continuous improvement. A key differentiator will be the ability to understand and operate successfully in a complex, heavily regulated global environment. The role requires a sense of urgency, passion for results, and personal accountability for achievement.
Required Qualifications
* 10+ years of experience in compliance or related disciplines in asset management (includes compliance programs, financial crimes, ethics, compliance monitoring)
* Prior experience with developing policy and procedures associated with SEC rules, regulations, and compliance related requirements including those related to the Investment Company Act of 1940, the Investment Advisors Act of 1940, FINRA Broker/Dealer Rules, NFA/CFTC Commodity Pool and Commodity Trader requirements
Other Desired Qualifications
* Experience working with regulators
* Excellent technical, analytical and, communication skills. Must be effective with both individual contributors and senior management
* Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation
* Ability to effectively and constructively lead change in an organization
* Understanding of best-practice compliance management techniques across financial services industry
* Knowledge of relevant financial regulations and understanding of how they are implemented, managed and enforced
* Strong interpersonal, influencing, and communications skills with an ability to interact effectively with stakeholders and regulators, to include virtual, and the ability to effectively manage and build relationships within the business and compliance
* Demonstrated leadership ability that embodies the Allspring Vision and Values
* Ethical integrity and demonstrated ability to assess and determine when to raise concerns and escalate
* Strong analytical ability used to identify compliance risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary
* Proven ability to proactively manage and resolve conflict and effectively defend decisions with objective rationale
* Experience in building and implementing compliance frameworks
* Basic understanding of regional compliance regulations in APAC, EMEA jurisdictions and LatAm



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)

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.

 

Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Experience
10+ years
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