Compliance Officer

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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

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

The Compliance Officer will be responsible for assisting in the review of global marketing communications. The successful candidate should have experience in working with business partners to solve complex issues. The candidate will have the opportunity to work on projects to assist with the streamlining of the marketing review process as needed.

RESPONSIBILITIES

• Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements.
• Experience with working with all levels of the organization to provide the business compliance risk expertise and consulting for projects and initiatives.
• Lead and manage projects with minimal supervision related to marketing communications.
• Identify training opportunities, design/coordinate the development of training materials, and deliver training.
• Provides consultation and support to various business stakeholders across Allspring departments regarding communication standards and regulatory no action and industry guidance.

CANDIDATE

We are seeking a knowledgeable and motivated individual to join our Global Sales Practice Compliance team. The successful candidate will have extensive experience reviewing and approving marketing communications. We are seeking a candidate that can thrive in a fast-paced environment.

REQUIRED QUALIFICATIONS

• FINRA Series 7 and Series 24
• 10 years of experience in compliance, operational risk management, or combination of both; or
• 10 years of experience reviewing and approving Investment Advisor/Broker Dealer marketing materials.
• Risk or compliance background.
• Solid understanding of broker/dealer/investment advisor regulatory requirements.
• Experience with the SEC Marketing Rule
• Experience working with a Marketing Compliance Review System.
• Strong verbal/written communication skills
• Must be able to multi-task and succeed in a fast-paced environment.

PREFERRED QUALIFICATIONS

• Prior experience working with international marketing communication.
• 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 including regulators.
• Strong analytical and critical thinking skills with high attention to detail and accuracy
• Proven ability to consistently meet deadlines.

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.

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