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

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

We provide our utility clients with a wide range of energy saving and renewable energy solutions. From individual utility customers and construction contractors, to utilities, municipalities, and government bodies, our clients have come to depend on our customized energy efficiency programs to help them to meet their energy saving goals. The Energy Advisor II is responsib

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