Compliance Officer

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

At Allspring Global Investments, we are seeking a Compliance Officer to join our team in Hong Kong or Singapore. As a key member of our compliance team, you will be responsible for ensuring that our business operations align with applicable laws, regulations, and internal policies.

About Us

Allspring Global Investments is a leading independent asset management firm that offers a range of investment products and solutions designed to meet clients' goals. Our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes.

We are committed to thoughtful investing, purposeful planning, and delivering outcomes that expand beyond financial gains. Our unique approach combines independence of thought with a renewed focus on looking around the corner to unlock what's possible.

In this role, you will work closely with our APAC Head of Legal & Compliance, based in Hong Kong, to ensure the success of our Compliance Programs. This includes collaborating with business stakeholders and colleagues across the business, compliance, legal, risk, finance, IT, and internal audit teams.

You will also be responsible for preparing and coordinating regular reporting submissions, filings, and ad hoc surveys/questionnaires due to regulators in Hong Kong and Singapore. Additionally, you will support the preparation of regulatory licensing-related requests and submissions.

This is an excellent opportunity to join a dynamic and growing organization where your ideas have impact. If you are passionate about compliance and eager to take on new challenges, we encourage you to apply.

About the Role

The Compliance Officer will be based in Allspring's Hong Kong or Singapore office and will report directly to the APAC Head of Legal & Compliance. The successful candidate will have experience in compliance or related disciplines in asset management and a strong understanding of regional compliance regulations in Hong Kong and/or Singapore.

You will have excellent communication and collaboration skills, with the ability to influence decision-making and a willingness to strive for continuous improvement. Experience with key regulatory filing documentation and the process of coordinating input to, organizing internal approvals of, and submitting these is also highly desirable.

Requirements
  • + years of experience in compliance or related disciplines in asset management
  • Prior experience with preparing 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 requirements
  • Good experience of building and maintaining effective working relationships with other Allspring functional colleagues covering Singapore/Hong Kong/APAC
  • A demonstrable understanding of regional compliance regulations in Hong Kong and/or Singapore, and preferably both
Preferred Qualifications
  • Experience with key regulatory filing documentation and the process of coordinating input to, organizing internal approvals of, and submitting these
  • Excellent technical, analytical, and communication skills
  • 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

We offer a competitive salary and benefits package, including:

  • $120,000 - $180,000 per annum
  • Health insurance and retirement plan
  • Flexible working arrangements and professional development opportunities

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