Manage Regulatory Compliance Develop and maintain Compliance Framework. Ensure compliance with regulations. Ensure third party partners meet Regulatory requirements. Control Testing strategy and implementation, day to day compliance oversight and remediation of third party Compliance related issues. Partner with Line of Business, Compliance and third parties to ensure all

Support the centralized monitoring program by performing risk based testing and oversight reviews, electronic communication monitoring, and market abuse testing. Identify, escalate, address, and validate potential policy violations identified through monitoring activities. Partner with business and compliance colleagues to enhance and develop compliance controls and new c

FuturePlan is the nation's largest third party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds high touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined t

Develop strong relationships with key business and risk partners, while providing appropriate and timely responses to business line and other inquiries. Maintain an understanding of Allspring's operations and regulatory guidance/expectations Test, draft, and provide advice and guidance on 38a 1 and 206(4) 7 policies & procedures, as well as regulations Conduct third party

Maintain a thorough understanding of Allspring's global business activities and its policies and procedures, including the Code of Ethics and relevant policies to manage conduct risk Perform daily and periodic conduct risk monitoring activities and forensic testing, including monitoring of personal investments, outside business activities, gifts and entertainment, politic

Manage Regulatory Compliance Develop and maintain Compliance Framework. Ensure compliance with regulations. Ensure third party partners meet Regulatory requirements. Control Testing strategy and implementation, day to day compliance oversight and remediation of third party Compliance related issues. Partner with Line of Business, Compliance and third parties to ensure all

Manage the NFA/CFTC Compliance Program and related activities Assist in reviewing NFA/CFTC regulatory developments with Compliance and Legal partners to ensure impact reviews and assessments are conducted Complete international and domestic regulatory filings and reporting Work effectively with Compliance and business line subject matter experts to implement and maintain

Participates in the analysis of lending policies and procedures, including scoring systems, strategic priorities, market share data, lending trends, external influences, current regulatory focuses, previous examination findings, and input from Audit and Conducts interviews and discussions with managers at all levels to understand the lending process, lending guidelines an

Are you a recent college graduate or have 1 3 years of business experience? Do you have a passion for data? Then we want to hear from you! We have an exciting opportunity to join a great company that offers tons of career growth, high visibility, the opportunity to work on complex problems, hybrid work schedule and FREE FOOD! The ideal candidate must be willing to work on