Chris Baker
Global Chief Compliance Officer at Allspring Global Investments
- Role
- Global Chief Compliance Officer at Allspring Global Investments
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Chris Baker
As CCO, I am responsible for implementing a global compliance program that adheres to regulatory requirements and client expectations for State Street Global Advisors. Currently, State Street Global Advisors manages approximately 2.7 trillion in assets and is the third largest asset manager in the world. Our Compliance team provides proactive advice and guidance on regulatory change, product development, and jurisdictional expansion. We promote a strong compliance culture by training employees on internal policy, monitoring controls, maintaining positive relationships with regulators, and ensuring we conduct business using the highest ethical standards.
Experience
Global Chief Compliance Officer
Dec 2021 — Present · Boston, MA, US
Global Chief Compliance Officer and Funds Chief Compliance Officer responsible for implementing a compliance framework that adheres to global regulatory requirements. The role oversees the Financial Crimes (AML), Ethics, Privacy, Trade Surveillance, Sales Practices, Broker-Dealer, and Funds Compliance Programs for all legal entities at Allspring Global Investments.
Education
Franklin & Marshall College
Bachelor of Arts (B.A.), History
1994 — 1998
Questrom School of Business, Boston University
Master of Business Administration (MBA), Concentration in Finance
2006 — 2009
Belmont Hill School
High School Diploma
1990 — 1994
Skills
- Marketing Compliance
- Global Management
- Asset Management
- Anti Money Laundering
- Regulatory Compliance
- Offshoring
- Real Estate Private Equity
- Code of Ethics
- Data Privacy
- Investment Compliance
- Hedge Funds
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