Sr. Compliance Officer
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 Fixed Income. The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities with considerable independence; ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies, communicated, and escalates issues that present risk. Leads initiatives that engage the Investment Compliance team, be it intra-departmental or enterprise level.
Requirements
- Bachelor's degree in a related field such as accounting, finance, or a similar discipline.
- Minimum of 4 years of relevant work experience in financial services, preferably within asset management.
- Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge.
- Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102).
- Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
- Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions.
- Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities.
- Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.
Responsibilities
- Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
- Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
- Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
- Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
- Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
- Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
- Identify potential gaps in monitoring processes and propose practical process improvement solutions.
- Present complex information clearly and professionally through written materials or presentations to diverse audiences.
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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Number of Employees
5,001-10,000 employees
