OverviewAllspring Global Investments is seeking a Senior Compliance Analyst to join its Compliance Regulatory Reporting team. This team of three is part of a broader Advisory Compliance organization, supporting legal-entity obligations and the firm's Global Compliance Program.
In this role, the individual will support the preparation of regulatory filings and disclosures for registered investment advisers. The position focuses on translating investment strategies, portfolio activity and data, and business operations into clear, accurate, and defensible regulatory outputs.
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, Milwaukee, WI, or Boston MA
Responsibilities- Prepare and maintain regulatory filings, including SEC Form ADV (Parts 1, 2A, 2B and Form CRS), NFA Member Questionnaires and NFA CTA-PRs.
- Manage global regulatory reporting obligations and limits, including shareholder disclosures, sensitive industries, and CFTC position limits.
- Support Allspring's regulatory-change management program by inventorying U.S. regulations and assessing new requirements.
- Adhere to Allspring's Policy and Procedure framework for documents owned by Compliance Regulatory Reporting.
- Action alerts and update watch lists within the order management systems related to affiliated transactions, satisfying conditions applicable for ERISA clients and registered investment companies.
- Investigate and resolve data discrepancies across regulatory reporting processes, including generated files, system outputs, and upstream data inputs.
- Respond to client inquiries, due diligence questionnaires (DDQs), and requests for proposal (RFPs) related to regulatory reporting and advisory compliance activities
- Assess and enhance controls supporting regulatory reporting processes and the related policies and procedures
QualificationsRequired Qualifications- BS/BA degree or higher
- 5+ years of advisory compliance experience at an asset manager or SEC-registered investment adviser
- Strong understanding of the Investment Company Act of 1940 and Investment Advisers Act of 1940
- Experience with regulatory reporting and disclosures, including Form ADV or similar filings
- Strong written, verbal and analytical skills, with the ability to produce clear and concise regulatory disclosures
- Remain in stationary position for prolonged periods of time
- Operate computer programs and software
- Ability to communicate effectively with audiences in person and in electronic formats
- Day-to-day contact with others (co-workers and/or public)
- Ability to work in a collaborative business environment in close quarters with peers and varying interruptions.
Preferred Qualifications- Experience working across multi-entity advisory structures
- Familiarity with regulatory reporting and disclosure requirements applicable to SEC Registered Investment Advisers, including Form ADV, Schedule 13G, Schedule 13F, Schedule 13H and Form PF.
- Experience with firms registered with the National Futures Association as Commodity Trading Advisors and Commodity Pool Operators.
- Demonstrate ownership beyond assigned tasks by identifying issues, proposing solutions, and contributing to final decision-making.
- Demonstrates an "audit-ready" mindset, approaching work with the expectation that decisions, data, and documentation may be subject to review.
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.
CompensationBase Pay Range: $85,000 - $105,000
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.)
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