Compliance Officer

Invesco Ltd. • Houston, TX

20h • Hybrid

About The Position

The Team: The compliance team is part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd. The Role: As a Compliance Officer, you will be primarily responsible for ensuring that the company’s business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards.

Requirements

• Bachelor's degree in a relevant field of study is required.
• Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).
• Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940;
• Proficiency in the Microsoft Office suite of applications is a plus.

Nice To Haves

• Familiarity with trading systems and their compliance components such as Bloomberg, or Charles River is a plus.
• Knowledge of securities regulation, as it relates to operations within the financial services industry preferred
• Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus

Responsibilities

• Ensure that regulatory and compliance reports are filed timely and correctly.
• Assist in responding to regulatory inquiries.
• Ensure all compliance procedures are appropriately documented.
• Address day-to-day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.
• Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.
• Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.

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