Compliance Manager, UIT & Broker/Dealer Trade Oversight
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About The Position
The Compliance Manager for UIT & Broker/Dealer Trade Oversight at Invesco plays a crucial role in ensuring that the company's registered broker-dealers operate in compliance with federal and state regulations, as well as internal policies. This position is part of the Compliance Department, which is integral to Invesco's risk management structure. The Compliance Department is responsible for assessing compliance risks, communicating requirements, and independently evaluating adherence to regulations. The Compliance Manager will work closely with business management to identify and prioritize areas of risk, ensuring that compliance is maintained across all operations. In this role, the Compliance Manager will oversee the compliance programs for Invesco's broker-dealer and UIT operations. This includes monitoring rules and regulations, developing and implementing necessary policies and procedures, and ensuring that all subsidiaries operate in accordance with regulatory requirements. The Compliance Manager will also be responsible for testing and monitoring related to UIT and affiliate broker-dealer trading, assisting with trade surveillance within the Charles River Development (CRD) system, and overseeing broker-dealer clearing and execution arrangements. Additionally, the Compliance Manager will perform vendor due diligence reviews, contribute to the production of annual CCO reporting, maintain relationships with regulatory authorities, and monitor proposed, adopted, and amended rules and regulations. This position will act as the compliance lead for broker-dealer regulatory exams and inquiries, facilitate FINRA and NFA branch inspections, and play a key role in developing and implementing internal compliance training programs. The Compliance Manager will also advise business partners on regulatory and compliance requirements and respond to queries from internal clients, including portfolio management and trade operations teams.
