Compliance Officer

Invesco Ltd. • Louisville, KY

10d • Hybrid

About The Position

The role is responsible for carrying out regional investment compliance monitoring activities, working closely with regional team members, offshore support teams, and key stakeholders. It supports accurate monitoring, timely issue identification, effective escalation, robust documentation, and ownership of outcomes, aligned with the global Investment Compliance operating model.

Validate pre-trade alerts in order management systems, providing effective second line challenge, working directly with investment and trading teams, and collaborating with Investment Compliance team members and other stakeholders as needed to support investment activity in a timely manner, with clear documentation of analysis and outcomes where required
Oversee and validate post-trade batch monitoring output, providing effective second line challenge, and collaborating with investment, trading, Investment Compliance team members, and other stakeholders as needed to assess whether alerts are valid, including root cause analysis and documentation of compliance exceptions where required
Work with global Investment Compliance teams to support investment restriction workflows, including clarification of requirements, follow up on outstanding items, and effective handoffs across teams
Analyze client mandates, prospectuses, and regulatory requirements to identify investment restrictions
Participate in rule testing and validation activities, ensuring outputs align with defined requirements
Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, including clear documentation of analysis, decisions, and outcomes
Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
Collaborate with regional and global teams to support consistent application of investment compliance standards and ways of working
Support effective communication and coordination across the region and time zones, including in relation to Americas market coverage
Identify opportunities to improve processes, data quality, or monitoring efficiency, and contribute to the implementation of agreed improvements
Support ad hoc compliance projects, process improvement initiatives, regulatory changes, and audit activities as required

Requirements

• At least 2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function, ideally within asset management or another regulated financial services environment
• Experience with investment compliance monitoring is preferred
• Good working understanding of investment management processes, portfolio construction, and trading activity is highly desirable
• Experience working with investment or trading teams
• Good understanding of the asset management industry, regulatory environment, and investment products and strategies across the Americas region
• Knowledge of a broad range of investment products and strategies, including regulated retail funds, commingled trust products, ERISA, ETF’s and other index-tracking strategies, segregated mandates, and alternative investments
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including 40ACT is desirable
• Hands on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, Bloomberg, or equivalent platforms is beneficial
• Strong attention to detail and ability to follow structured processes accurately
• Sound analytical judgment, with the ability to assess information, reach balanced conclusions, and escalate appropriately where needed
• Clear written and verbal communication skills in English
• Ability to manage multiple tasks and prioritize effectively in a time-sensitive environment
• Proactive and collaborative approach, with willingness to learn and develop technical expertise
• Ability to operate effectively within a defined control framework, exercising judgment, escalating appropriately in complex or ambiguous situations, and maintaining clear documentation of analysis and outcomes
• Collaborative approach across global teams, working consistently as part of one team
• Ownership mindset, with accountability for seeing work through to completion and maintaining quality across handoffs, escalating appropriately where needed
• Able to build effective working relationships with investment, trading, and other stakeholders
• Interest in using AI tools to improve processes and create efficiencies

Nice To Haves

• Experience with investment compliance monitoring is preferred
• Good working understanding of investment management processes, portfolio construction, and trading activity is highly desirable
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including 40ACT is desirable
• Hands on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, Bloomberg, or equivalent platforms is beneficial

Responsibilities

• Validate pre-trade alerts in order management systems, providing effective second line challenge, working directly with investment and trading teams, and collaborating with Investment Compliance team members and other stakeholders as needed to support investment activity in a timely manner, with clear documentation of analysis and outcomes where required
• Oversee and validate post-trade batch monitoring output, providing effective second line challenge, and collaborating with investment, trading, Investment Compliance team members, and other stakeholders as needed to assess whether alerts are valid, including root cause analysis and documentation of compliance exceptions where required
• Work with global Investment Compliance teams to support investment restriction workflows, including clarification of requirements, follow up on outstanding items, and effective handoffs across teams
• Analyze client mandates, prospectuses, and regulatory requirements to identify investment restrictions
• Participate in rule testing and validation activities, ensuring outputs align with defined requirements
• Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, including clear documentation of analysis, decisions, and outcomes
• Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
• Collaborate with regional and global teams to support consistent application of investment compliance standards and ways of working
• Support effective communication and coordination across the region and time zones, including in relation to Americas market coverage
• Identify opportunities to improve processes, data quality, or monitoring efficiency, and contribute to the implementation of agreed improvements
• Support ad hoc compliance projects, process improvement initiatives, regulatory changes, and audit activities as required

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
• Education Level: No Education Listed