Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)
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 global company committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains.
At Allspring, we leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. Promoting diversity, equity, and inclusion in all aspects of our business is vital to our success. We drive creativity and innovation by bringing together multiple perspectives – diversity and inclusion are key to understanding our clients more fully and seeing business opportunities in new ways. Making differences, our difference.
For more information, please visit www.allspringglobal.com.
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. Allspring offers the expertise of over 29 investment teams—each focused on specialized, niche portfolio management strategies— that attempt to meet the diverse needs of our investors.
RESPONSIBILITIES:
Manager, Ethics Office
The Expertise and Skills Necessary
The Ethics organization works closely with Risk and Legal partners and with all other business units to protect Allspring's brand and reputation by ensure ongoing compliance with our policies and applicable law. We focus on those policies that relate to employees' personal conduct, including personal investing, outside business activities, personal conflicts of interest and other conduct-related matters. We also provide training to employees. We are passionate about the employee experience and committed to providing sound and consistent guidance that effectively mitigates risks.
REQUIRED QUALIFICATIONS:
The firm invites all interested and qualified candidates to apply for employment opportunities. All offers for employment with Allspring are contingent upon the candidate having successfully completed a criminal background check.
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.