Job Information
WELLS FARGO ASSET MGMT HOLDING Senior Compliance Analyst in MENOMONEE FALLS, Wisconsin
JOB REQUIREMENTS: Description Elevate Your Career Work where your ideas have impact 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 About Us - Allspring Global Investments. 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 Team Member will be an integral part of the Allspring Regulatory Compliance team supporting the Allspring Global Investments Compliance Program activities including managing the firm\'s books and records requirements, leading the information barrier compliance oversight process, coordinating international regulatory filings and reporting, supporting the NFA/CFTC program, and various projects and compliance oversight activities to support the Asset Management risk-based compliance program to assure compliance with significant regulatory requirements (i.e., SEC, CFTC, etc.) as well as firm policies. The Team Member will assist the Compliance manager in designing and developing compliance process, control activities, methodologies, compliance monitoring activities, and will consult with senior compliance and business management on compliance policies, procedures, and controls for the respective business/functional area. The Team Member will also ensure identified compliance issues are escalated, addressed and validated in accordance with firm Policies. The team member will participate in compliance projects, as needed, including diving into... For full info follow application link. 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. ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/4370482E667246DE