Senior Compliance Officer

Invesco Ltd. • Atlanta, GA

19h • Hybrid

About The Position

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions. This position will be on the America’s investment compliance team, primarily supporting Invesco Equity. The Senior Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities and ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies, communicates, and escalates issues that present risk.

Requirements

• Bachelor’s degree in a related field (e.g., accounting, finance, or related field)
• Minimum 3 Experience in the asset management industry.
• Investment/securities knowledge
• Knowledge of domestic and international securities law i.e., 1940 act, UCITS Framework, 81-102.
• Strong customer service orientation applies consultative approach to interacting with peers and business partners.
• Team worker wo must be able to build working relationships and interact with a diverse group of internal contacts.
• Strong interpersonal skills, effective written and oral communications.
• Excellent organizational skills, ability to manage competing priorities and deadlines.
• Proven analytical skills and ability to make critical, time sensitive decisions.
• Strong attention to detail, commitment to quality work.
• Strong quantitative, analytical, problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Nice To Haves

• Prior experience with trading/compliance systems such as Aladdin, Charles River Investment Management Solution preferred.
• FINRA Series 6 or 7 preferred.
• Certification in a related field of practice is a plus.

Responsibilities

• Reviews pre-trade compliance exceptions within the Charles River Investment Management Solution order management system (“OMS”) in a timely manner/within established timelines, provides subject matter expertise and communicates critical information to investment and trading personnel.
• Investigating and validating overnight alerts in the OMS as raised by offshore (Hyderabad) teams. As part of the Americas Investment Compliance team, ensure breaches are logged, classified accurately, and reported to third parties and appropriate escalation is followed through.
• Contract analysis of client IMA and regulatory investment restrictions, covering both new mandates and changes to existing portfolios. Collating information for coding requests to offshore teams from this analysis. Rule sign-off for coding requests completed by offshore team.
• Working closely with Product and Legal Teams to ensure that Invesco funds, ETFs and client mandates are launched with robust controls for their investment restrictions. This will include reviewing all draft investment restrictions wording and providing constructive feedback as required.
• The position involves global coordination with Investments and Trading teams, Legal, Data Management, Reconciliation & Settlement, Account Onboarding, and Client Relationship Management.
• Partners with portfolio management to test new investment ideas and instruments, leveraging OMS data, risk analytics, and system capabilities to influence outcomes and ensure compliance with applicable investment restrictions.
• Serves as a primary Investment Compliance partner to the equity business, leveraging the OMS data, analytics, and compliance capabilities to deliver accurate, timely, and consistent compliance outputs. Partners closely with portfolio management, trading, legal, and operations to understand business objectives, resolve compliance issues, support firm wide initiatives, and provide clear, solution-oriented guidance aligned with regulatory and investment guidelines.
• Ensure regulatory integrity and operational excellence across portfolios and products by proactively reviewing new and existing strategies, supporting new product launches, monitoring regulatory developments, and identifying process improvements within the OMS enabled workflows. Applies strong judgment to propose and implement projects and solutions, represents compliance on cross functional projects, and communicates complex compliance concepts clearly to diverse stakeholders while maintaining high standards of data quality and control consistency.

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: Senior