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

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

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

Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements. Lead and manage projects with minimal supervision related to marketing communications. Experience with working with all levels of the organization to provide the busi

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

Manage the firm's books and records requirements Assist in supporting the NFA/CFTC program Complete international and domestic regulatory filings and reporting Work effectively with Compliance and business line subject matter experts to implement and maintain compliance program activities Communicate, escalate, address and validate issues identified during compliance prog

Your Job The Product Safety & Regulatory Compliance Team is seeking a Regulatory Affairs Manager to join our team. This role will support the Koch Agronomic Services (KAS) Business (subsidiary of Koch Industries, Inc.) and will partner with various Koch resources to integrate product compliance and risk management controls during all phases of product development and comm

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