About this role
Senior Compliance Analyst at Allspring Global Investments. Location: Charlotte or Boston or Milwaukee. Role: reviewing materials, leading projects, designing programs Requirements: 5-10 years asset management compliance experience, active FINRA Series 7/24/63, BS/BA, strong knowledge of Investment Company Act and Advisers Act, SEC Marketing Rule, excellent communication and analytical skills. Category: Legal and Compliance Seniority: Senior Level Tools: AI Certifications: series 7, series 24, series 63 Commitment: Full Time Workplace: Hybrid Languages: English