Compliance Officer

Invesco • Atlanta, GA

6d • Hybrid

About The Position

The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, Board reporting, Canadian and U.S. sub-advised client oversight, and product risk – among other compliance functions. Our objective is to provide strategic advice, implement and synergize controls across the region and perform compliance oversight to protect Invesco from regulatory, reputational, and financial risk. The overall responsibility of the Compliance Officer position is to assist Invesco's Americas business operations with respect to compliance with applicable state, federal and self-regulatory agency requirements. This role will support the OCCO with compliance requirements for Invesco Canada ltd. (“ICL”). The Canada responsibilities include policy and procedure reviews, conflict of interest assessments, coordination and execution of regulatory filings and registrations. As required, the role will also support other Invesco areas, including Invesco’s Multi-Asset Strategies group, electronic communication review, and 12d1-4 fund of fund compliance. The Compliance officer position also assists with a variety of other activities, including trade reviews, policy and procedure review, and departmental organization and administration.

Requirements

• Minimum of 3 years of experience within the financial services industry or equivalent course work required.
• Knowledge of securities regulation, as it relates to operations within the advisory compliance (mutual funds or institutional) industry preferred.
• Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus.
• Knowledge of both US and Canadian regulatory environment is preferred.
• Work well both independently and in a team atmosphere.
• Ability to manage multiple simultaneous projects and responsibilities.
• Strong attention to detail, work ethic, and pride in work.
• Ability to communicate effectively with senior management and investment professionals.
• Proficiency of the Microsoft Office suite of applications required.
• Bachelor’s degree in a relevant field of study required

Responsibilities

• Assist the ICL CCO with regulatory filings, keeping policies and procedures current, and reviewing conflicts
• Serve as a point of contact for internal and external stakeholders to facilitate and complete a variety of requirements and requests
• Complete various aspects of trade review/analysis/oversight and other reviews for compliance with applicable regulations
• Assist in the development, implementation, and maintenance of policies and procedures.
• Assist with projects and initiatives involving technology, data analysis, surveillance and other Compliance initiatives for the Americas region.
• 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: Mid Level