Compliance Officer, ETF

Invesco • Downers Grove, IL

1d • Hybrid

About The Position

The Compliance Officer position will assist in coordinating and creating consistency across the Americas region for centralized internal and external client reporting requests to meet compliance standards and requirements, Board reporting, trade surveillance, policy and procedure review, and other compliance department needs. As a Compliance Officer, you will contribute to the effective execution of compliance monitoring, testing, and regulatory support for Invesco’s 1940 Act ETFs and related accounts. You will assist business partners by interpreting policies, identifying risks, and escalating issues appropriately. You will help maintain compliance procedures, documentation, and reporting while supporting interactions with regulators and internal oversight groups. This role is ideal for a detail-oriented compliance professional looking to deepen ETF expertise and expand advisory experience.

Requirements

• Bachelor’s degree is preferred in finance, accounting, or a related field.
• 1–3 years of investment compliance, ETF oversight, or related asset management experience.
• Prior exposure to regulatory exams, compliance testing, or ETF operations is a plus.
• Knowledge of domestic and international securities laws (e.g., 1940 Act, etc.).
• FINRA Series 7/63/65 or Compliance Officer exam preferred.
• Excellent communication and teamwork skills to collaborate with peers and business partners.

Nice To Haves

• Prior exposure to regulatory exams, compliance testing, or ETF operations is a plus.
• FINRA Series 7/63/65 or Compliance Officer exam preferred.

Responsibilities

• Execute day‑to‑day compliance monitoring, reporting and testing activities.
• Support responses to regulatory exams, internal audits, and ad‑hoc regulatory inquiries.
• Advise partners on policy interpretation and escalating potential issues appropriately.
• Assist in the maintenance and improvement of compliance procedures, workflows, and documentation.
• Monitor and interpret regulatory developments affecting ETFs and investment advisers.
• Maintain accurate compliance records in alignment with regulatory and internal standards.
• Identify operational or regulatory risks and support issue tracking and remediation.
• Assist with preparation of report materials for clients and internal Boards.
• Assist with projects and initiatives as assigned, including technology, data analysis, surveillance, and other Compliance initiatives.
• Interact with members of the global compliance team to assist with Compliance initiatives.

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: Entry Level
• Number of Employees: 1,001-5,000 employees