Compliance Manager

Invesco Ltd. • Houston, TX

9d • $140,000 - $160,000 • Hybrid

About The Position

The Compliance Manager as a key contributor within the Compliance Monitoring function, supporting the execution of the firm’s risk-based compliance testing and surveillance activities across the Americas. The Testing Team operates independently from business and advisory compliance functions and is responsible for identifying control gaps, evaluating the effectiveness of existing controls, and escalating issues and emerging risks to management. Compliance Monitoring also plays a key role in supporting continuous improvement of the firm’s compliance program through enhanced testing methodologies, surveillance coverage, and data-driven insights.

Requirements

• Bachelor's degree in accounting, finance or related business fields
• 6-8+years of experience in Financial Services Industry, in an Investment Management firm’s compliance, auditing or risk function preferred, previous experience with regulatory agency a plus
• Broad knowledge of federal securities laws and regulations (SEC, FINRA, ERISA), including requirements under the Investment Advisers Act and Investment Company Act of 1940.
• Working understanding of a wide range of security types, including equities, fixed income, and derivatives.
• Familiarity with trading systems and related compliance components (e.g., Charles River).
• Strong verbal and written communication skills with proven negotiation and influence abilities.
• Excellent interpersonal skills with the ability to work effectively across all levels and a strong results-oriented mindset.
• Demonstrated ability to identify, analyze, and thoroughly investigate potential issues and determine appropriate actions.
• Ability to learn quickly, apply strategic thinking, and understand the broader impact of issues and associated risks.
• Self‑starter with strong motivation and proficiency in Microsoft Office applications.

Responsibilities

• Design, scope, and execute risk‑based compliance reviews aligned with the annual test plan, identifying relevant regulations, key risks, and controls.
• Develop and perform detailed testing to assess control design and operating effectiveness and evaluate compliance with policies and regulatory requirements.
• Engage with business and support teams through interviews, walkthroughs, and process reviews to understand activities, risks, and controls.
• Document all testing procedures, evidence, and conclusions clearly and comprehensively.
• Identify and articulate findings—including control gaps, deficiencies, and risk exposures—and prepare clear reports for stakeholders and management.
• Collaborate with business partners to draft remediation plans, support timely corrective actions, and track closure of issues.
• Conduct market abuse surveillance, reviewing alerts related to insider trading, window dressing, portfolio pumping, and other misconduct indicators.
• Partner with data analytics teams to leverage automation and analytical tools to enhance testing coverage and insights, while monitoring regulatory developments and emerging risks.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees