Pre-Trade Guideline Monitoring Analyst (Boston)

We're looking for talented people who will put our clients at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience. 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. This position is within Allspring Global Investments as a member of the Pre-Trade Monitoring and Guideline Intake team. The selected person will provide support for the operations, compliance, trading, and investment business teams.

The selected person will provide support for the operations, compliance, trading, and investment business teams, in the office at least 3 days a week. The Pre-Trade Analyst is responsible for ensuring that client guidelines are interpreted and coded properly in the trading systems, procedures are well documented and kept up to date and all relevant US/International regulatory requirements implemented.

RESPONSIBILITIES:

• Monitoring the investment teams' adherence to client guidelines, internal parameters, and statutory requirements within trading-compliance system (i.e., Charles River | Bloomberg trading).
• Researching the validity of flagged exceptions and escalating issues to ensure violations and warnings are addressed and resolved in a timely manner.
• Liaising with Portfolio Management, Trading, Relationship Managers, and Operations to review, interpret, design, and implement client mandates and regulatory restrictions.
• Providing initial review and ongoing interpretation of client account investment restrictions (i.e., Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.) to ensure restrictions are coded accurately, effectively, and optimally.
• Coding, reviewing, updating, and maintaining the portfolio compliance system; working with the firm's Information Technology group to optimize the compliance system and automate compliance processes.
• Ensuring that effective controls are in place to meet federal laws and regulations and providing training, advice, and education on how to comply with regulatory requirements and to monitor such compliance.

REQUIRED QUALIFICATIONS:

• Experience with Charles River's Compliance module.
• Experience with client guidelines and investment restrictions.
• Exceptional analytic and critical thinking skills.
• Strong ability to independently interpret data, utilize information and make recommendations.
• Strong organizational skills.
• Ability to develop metrics and assess program initiatives for success.
• Must work well with a team located across locations.
• Ability to effectively handle multiple, simultaneous responsibilities.
• Ability to prioritize issues/problems as the arise.
• Excellent verbal, written and interpersonal communications skills.
• Willingness and availability to work international trading hours.

• 6 years' experience with investment management.
• Experience with investment guidelines.
• Proficiency in Microsoft tools especially Excel.