Job Posting for Code of Ethics Compliance Manager at Allspring Global Investments, LLC
Allspring is a leading asset management firm with close to $600 billion of assets under management, 24 offices globally, and specialized investment teams supported by more than 480 investment professionals. Allspring and our investment teams provide a broad range of differentiated products and solutions to help our diverse range of clients meet their investment objectives. We leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals.
With a rich and established history in the asset management industry, Allspring is now a “start-up at scale” having spun off from Wells Fargo and acquired by GTCR and Reverence Capital Partners in November 2021. The new name, Allspring Global Investments, reflects our commitment to renewal, growth, and meaningful client outcomes. With decades of trusted expertise propelling us forward, we’re a company staying true to our core investment roots while reinventing ourselves to offer today’s investors a fresh perspective.
For more information, please visit www.allspringglobal.com.
Allspring Global Investments strives to help investors achieve their financial goals through investment solutions managed by specialized investment teams and backed by collaborative service. Allspring's investment approach centers on autonomous investment teams that maintain their own independent research, idea-generation, and decision-making processes. Its independent investment risk management approach provides a consistent, unbiased framework for analyzing and balancing risk in portfolios. Allspring offers the expertise of over 29 investment teams—each focused on specialized, niche portfolio management strategies— that attempt to meet the diverse needs of our investors.
Manager, Ethics Office
The Manager of Ethics leads a team that works across Allspring to address potential conflicts of interest arising from employees' personal investing, outside business, political contribution and participation, entertainment and gifting, and other conduct-related activities.
In this role you will guide the team as they maintain Allspring's Code of Ethics, including rules for Employee Investing, outside business activities, political contributions, entertainment and gifting and other conduct-related activities and monitor for compliance with those rules.
You will also liaise with the technology solutions provider (FIS PTA) to facilitate that work.
You will serve as a trusted advisor to business partners across Allspring in addressing issues that arise under our ethics and conduct policies and associated Rules.
The Expertise and Skills Necessary
The Ethics organization works closely with Risk and Legal partners and with all other business units to protect Allspring's brand and reputation by ensure ongoing compliance with our policies and applicable law. We focus on those policies that relate to employees' personal conduct, including personal investing, outside business activities, personal conflicts of interest and other conduct-related matters. We also provide training to employees. We are passionate about the employee experience and committed to providing sound and consistent guidance that effectively mitigates risks.
10 years broad compliance and/or legal experience in the financial services industry.
Demonstrated success working collaboratively across various teams, including Legal, Operations, Risk, and Audit.
Experience with Trade Monitoring and Inside Information controls, including operational and analytical components to support compliance with Allspring policy and securities laws.
History managing relationships across financial services organizations and successfully influencing key decision-makers on complex issues related to employee investment and conduct-related activity.
Advise associates and managers across the firm on Code of Ethics, personal trading, and inside information issues.
Closely monitor for and champion technology improvements to facilitate employee engagement with the Ethics Office and to improve the Ethics Office's ability to efficiently monitor employee trading.
Quickly spot potential regulatory issues, synthesize information, and collaborate to make decisions.
Set strategic goals for the team and play a key role in guiding their performance and career development.
Encourage a culture of diversity, inclusion, ownership, and empowerment.
At least 7-10 years of related experience (with at least 5 years of investment adviser code of ethics / personal security transaction monitoring compliance experience).
Strong knowledge of SEC code of ethics / personal security transaction related regulations.
Ability to modify Compliance Program to changes in regulatory or corporate requirements.
Prior experience in oversight of written policies and procedures.
A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
Candidate must have excellent written, oral and presentation skills.
Candidate must have strong PC skills (Office) and ability to interface effectively on systems issues.
Hybrid Model Work Schedule.
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.
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)