Compliance Officer

2 months ago

Hong Kong, Hong Kong SAR China Allspring Global Investments Full time

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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 .

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 Compliance Officer, Hong Kong and Singapore role will be based in Allspring’s Hong Kong or Singapore office and will report directly to the APAC Head of Legal & Compliance, based in Hong Kong. Essential to the success of the role will be a collaborative attitude and approach, timely communication and strong cooperation with business stakeholders and colleagues across the business, compliance, legal, risk, finance, IT and internal audit teams in European and USA hubs.

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

Location(s): Hong Kong, Singapore

RESPONSIBILITIES

Support the Allspring Singapore and Hong Kong Compliance Programs to ensure business alignment with applicable laws, regulatory rules and regulations and internal policies and procedures. Prepare and/or coordinate the regular, routine reporting submissions, filings and any ad hoc surveys/questionnaires due to the respective regulators in Hong Kong and Singapore, and support the preparation of any regulatory licensing related requests and submissions. Perform the role of Compliance Officer for the Allspring Singapore and Allspring Hong Kong legal entities. Support and assist with the continuing development of the APAC Compliance Program. Support the Head of APAC Legal & Compliance with his obligations and deliverables as the primary point of contact and liaison for the MAS and SFC. Advise colleagues on compliance matters relevant to the Allspring business conducted in Hong Kong and Singapore, such as marketing requirements, financial crimes checks and procedures, client suitability assessments and onboarding, and ongoing client administration and reporting. And helping Compliance to maintain appropriate records and files in respect of these items. Proactively keep Compliance colleagues and business stakeholders informed of regulatory change impacting Allspring in APAC. Where appropriate, present with others on relevant APAC compliance matters at Allspring regional committees and working groups. Oversee the maintenance of compliance policies and procedures to reflect Singapore and Hong Kong requirements, whilst maintaining close alignment and where possible consistency with Allspring Global policies and procedures. Help with the preparation and delivery of training for Singapore and Hong Kong staff on compliance topics. Support and collaborate with Allspring Compliance colleagues in the planning and execution of compliance monitoring and testing activities in the APAC region. Promote the values of Allspring Compliance with employees, placing an emphasis on acting with integrity, collaborating with business partners, thinking creatively, embracing diversity, and implementing a team-first mindset. Work closely with the Head of International Compliance (based in the UK) and senior leaders across Allspring APAC region to embed a strong compliance culture across the firm. Partner with US Compliance to help ensure compliance with US SEC rules and regulations applicable to Allspring’s SEC Registered Investment Advisor entities in APAC. In particular, to perform a local coordination and input role for annual SEC Form ADV filings

CANDIDATE

Integrity and credibility will be determining factors in selection. The successful candidate will be an enthusiastic self-starter with strong collaboration and communication skills and a willingness to proactively build strong working relationships with colleagues at all levels. They must be flexible in their work style, demonstrate an ability to identify key issues, independently conduct follow-up research and analysis, and bring forward alternative ideas and solutions aligned with the Allspring approach. They will have the ability to influence decision making and a willingness to strive for continuous improvement.

Key differentiators will also be the ability to understand and operate successfully in a complex, heavily regulated environment, to have an appreciation of the broader, Allspring group context beyond just the regional regulatory framework and therefore a willingness and desire to engage and collaborate effectively with global Compliance teams, especially our global subject matter experts in specialist compliance areas such as Financial Crimes, Privacy, Sales Practices and Surveillance and Monitoring. The role requires a sense of urgency, passion for results, and personal accountability and the successful candidate will be able to demonstrate they have these attributes.

REQUIRED QUALIFICATIONS

+ years of experience in compliance or related disciplines in asset management (includes compliance programs, financial crimes, ethics, compliance monitoring, exam management). Prior experience with preparing the regulatory reporting and submission via MASNET (Singapore) and WINGS (Hong Kong). Prior experience with developing policy and procedures associated with MAS and / or SFC rules, regulations, and compliance related requirement. Good experience of building and maintaining effective working relationships with other Allspring functional colleagues covering Singapore / Hong Kong / APAC, including Legal, Internal Audit, Finance, IT and Risk A demonstrable understanding of regional compliance regulations in Hong Kong and/or Singapore, and preferably both. Proficient in spoken and written English and Chinese within a business setting.

PREFERRED QUALIFICATIONS

Experience with key regulatory filing documentation and the process of coordinating input to, organizing internal approvals of, and submitting these. Specific examples relevant to Allspring APAC include SEC Form ADV, SFC BRMQ, MAS Form FR and MAS Surveys and Questionnaires. Excellent technical, analytical and, communication skills. Must be effective with both individual contributors and senior management. Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation Experience of liaising and managing dialogue with regulators. Ability to effectively and constructively manage change in an organization. Knowledge of relevant financial regulations and understanding of how they are implemented, managed and enforced. Strong interpersonal, influencing, and communications skills with an ability to interact effectively with stakeholders and regulators, to include virtual, and the ability to effectively manage and build relationships within the business and compliance. Ethical integrity and demonstrated ability to assess and determine when to raise concerns and escalate. Strong analytical ability used to identify compliance risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary. Proven ability to proactively manage and resolve conflict and effectively defend decisions with objective rationale

LI-KC

LI-Hybrid

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.

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