Jimmy Tran

Compliance Manager @Allspring Global Investments

Lead the Regulatory Compliance team supporting a broad array of asset management functions including, SEC Compliance Program activities, client reporting, and international registration, licensing, and ongoing compliance monitoring and oversight Act as Chief Compliance Officer of the Allspring Global Investments, LLC Bahamas Branch, responsible for overseeing regulatory compliance requirements in The Bahamas Build, develop, and enhance compliance program functions for a global standalone asset management firm, including processes for regulatory change management, books and records, policies and procedures, and compliance monitoring and oversight Lead, facilitate, and coordinate various regulatory examinations, internal/external audits, and internal testing engagements