Senior Regulatory Disclosure Analyst

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 Senior Regulatory Disclosure Analyst role will provide ongoing coordination and execution of initiatives and service provider oversight within our Transfer Agent Services team. This position will be responsible for the planning, execution and coordination with cross functional teams and service providers to plan and execute a variety of projects, services, and initiatives with a focus on regulatory disclosure and document distribution. The Position completes tasks in our vendor oversight program and proposes and implements relevant process and efficiency enhancements. The Senior Regulatory Disclosure Analyst ensures plans and programs adhere to appropriate policies and regulations.

We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.

Location(s):

RESPONSIBILITIES

• Collaborate with the Sr. Regulatory Disclosure Lead in providing project management support for regulatory-related initiatives, with a focus on required Fund shareholder disclosures (prospectus, supplements, stickers, financial reports, proxy); projects can be complex in nature impacting multiple functions and can pose moderate to significant financial and reputational risk to the company.
• Build strong business partner relationships across business lines, including but not limited to Compliance, Legal, Distribution, Product, Risk, Marketing, Fund Administration, and Technology to successfully implement strategies and initiatives.
• Partner with Compliance and Legal to define policies and procedures to comply with strict U.S. regulatory rules.
• Work with multiple service providers in delivering services to Fund shareholders; assist in the development and management of service standards for service providers who support U.S. products.
• Assist in service provider onboarding including contract execution and ongoing service delivery.
• Develop and maintain policies and key artifacts, ensuring that documents are drafted, reviewed, and approved by business stakeholders.
• Document regulatory program costs and identify areas of potential efficiencies and savings.
• Expected to be known as an in-house authority and subject matter expert on U.S. regulatory disclosure topics and processes.
• Collaborate with multiple business partners to plan and execute on time-sensitive regulatory disclosure projects that can be scheduled, unplanned, or recurring.
• Responsible for identifying requirements and developing project plans for moderate to complex initiatives.
• Incorporate industry requirements, initiatives, and client needs into strategic planning within the department.
• Represent TA Services on corporate led projects and initiatives as requested.
• Strengthen relationships with key business partners and advocate for the shareholder needs throughout the business planning and execution process.
• Serve as escalation point with service providers.
• Ensure timely reporting of service provider SLAs to management.

REQUIRED QUALIFICATIONS

• Minimum of 10 years Financial Services experience.
• 5+ years of Mutual Fund Operation or Transfer Agent Experience.
• An understanding of U.S. regulatory and industry requirements.
• Strong knowledge of Microsoft Office and SharePoint.
• Some knowledge of Mutual Fund regulatory disclosure documents.

PREFERRED QUALIFICATIONS

• Project management and relationship management experience.
• Strong leadership, organizational skills, verbal, and written communication skills.
• Strong process/risk management skills.
• Proven ability to manage effectively under pressure.
• Solid and proven facilitation skills.
• Continuous improvement and knowledge sharing focused.
• Ability to analyze problems and recommend actions.
• Ability to act decisively and independently in situations requiring analysis and decision making.
• Comfortable interacting with colleagues at all levels, in a fast-paced environment.
• Flexible, open-minded, proactive, and cooperative personality.
• Structured work style, be confident working autonomously but like to be part of a team.

Base Salary Range: $85,000 - $95,000

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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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.