Sr. Compliance Officer
About the position
About the Department/Team: Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions. This position will be on the America’s investment compliance team, primarily supporting Invesco Fixed Income.
About the Role: The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities with considerable independence; ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies, communicated, and escalates issues that present risk. Leads initiatives that engage the Investment Compliance team, be it intra-departmental or enterprise level.
Responsibilities
• Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
• Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
• Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
• Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
• Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
• Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
• Identify potential gaps in monitoring processes and propose practical process improvement solutions.
• Present complex information clearly and professionally through written materials or presentations to diverse audiences.
Requirements
• Bachelor’s degree in a related field such as accounting, finance, or a similar discipline.
• Minimum of 4 years of relevant work experience in financial services, preferably within asset management.
• Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge.
• Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102).
• Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
• Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions.
• Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities.
• Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.
Benefits
• Flexible paid time off
• Hybrid work schedule
• 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan
Apply Now
Apply Now
About the Department/Team: Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions. This position will be on the America’s investment compliance team, primarily supporting Invesco Fixed Income.
About the Role: The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities with considerable independence; ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies, communicated, and escalates issues that present risk. Leads initiatives that engage the Investment Compliance team, be it intra-departmental or enterprise level.
Responsibilities
• Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
• Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
• Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
• Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
• Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
• Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
• Identify potential gaps in monitoring processes and propose practical process improvement solutions.
• Present complex information clearly and professionally through written materials or presentations to diverse audiences.
Requirements
• Bachelor’s degree in a related field such as accounting, finance, or a similar discipline.
• Minimum of 4 years of relevant work experience in financial services, preferably within asset management.
• Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge.
• Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102).
• Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
• Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions.
• Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities.
• Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.
Benefits
• Flexible paid time off
• Hybrid work schedule
• 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan
Apply Now
Apply Now