Compliance Mgr-Monitoring

Invesco • New York City, NY

1d • Hybrid

About The Position

The Compliance Manager is a key member of Invesco’s Americas Compliance Monitoring team, responsible for executing risk-based compliance reviews, surveillance activities, and monitoring initiatives across the firm’s investment management businesses. The role includes independently leading reviews under the annual Compliance Monitoring Plan, assessing compliance risks and controls, documenting testing, reporting results to senior management and fund boards, and validating remediation plans. The position also conducts surveillance analysis, partners with data and technology teams on monitoring solutions, and tracks regulatory developments and emerging risks.

The role is based on Invesco’s workplace policy, which, as of October 1, 2025, requires employees to spend at least four full days each week working in an Invesco office. The position is full-time and exempt.

Requirements

• Bachelor’s degree in Accounting, Finance, Business Economics, or a related business field.
• Minimum 5–7 years of experience in the financial services industry, preferably in compliance, audit, risk, or control functions at an investment management firm.
• Strong knowledge of federal securities laws and regulations, including SEC and FINRA requirements, and requirements applicable to registered investment advisers and registered investment companies, including the Investment Advisers Act and Investment Company Act of 1940.
• Experience evaluating compliance risks, assessing control design and effectiveness, and executing risk-based monitoring and testing activities.
• Comfort working with data and using data-driven insights to support compliance testing, monitoring, and decision-making.

Nice To Haves

• Prior experience with a regulatory agency.
• Familiarity with investment management and trading platforms, including compliance monitoring capabilities in Charles River and/or Aladdin.

Responsibilities

• Execute and independently lead risk-based compliance reviews under the annual Compliance Monitoring Plan, including planning, scoping, stakeholder interviews, testing, reporting, and remediation validation.
• Assess compliance risks and evaluate the design and effectiveness of controls to determine adherence to policies, procedures, laws, and regulations.
• Document testing procedures, workpapers, and results in accordance with Compliance Monitoring standards.
• Prepare reports and presentations for senior management and the Funds’ Board of Directors, summarizing testing objectives, methodology, results, observations, and conclusions.
• Partner with business and other stakeholders to develop, track, and validate Management Action Plans addressing control weaknesses and compliance risks.
• Conduct surveillance reviews and analyze ongoing monitoring activities, including market abuse and other compliance-related alerts.
• Partner with data analytics and technology resources to support testing and surveillance through analytics, automation, monitoring methodologies, and technology-enabled solutions.
• Monitor regulatory developments and industry trends to identify emerging compliance risks and assess their potential impact on Invesco’s businesses and Compliance Monitoring Program.
• Perform other duties as deemed appropriate by the manager.

Benefits

• Flexible paid time off
• Hybrid work schedule
• 401(k) matching of 100% up to the first 6%, with a discretionary supplemental contribution
• Health and wellbeing benefits
• Parental leave benefits
• Employee stock purchase plan
• Salary and incentive pay

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level