Compliance Officer

Invesco • Atlanta, GA

2d • Hybrid

About The Position

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. The compliance team is part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd.

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;

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
• Proficiency in the Microsoft Office suite of applications is 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