Sr. Compliance Officer

Invesco Ltd. • Houston, TX

2d • Hybrid

About The Position

The Global Ethics Office (GEO) mitigates conflicts of interest and ensures employee compliance with regional policies related to personal account dealing, outside business activities, gifts and entertainment, and political contributions. The Compliance Officer monitors employee compliance with the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies through Star Compliance, the Service Now Global Ethics Office Support Portal, and conversing with employees directly. This position will primarily support North American employees.

Requirements

• Bachelor’s degree or equivalent.
• Strong analytical skills with the ability to make critical, time-sensitive decisions.
• Interest in compliance area and financial services markets.
• Strong digital acumen with an ability to leverage systems and emerging technologies (including AI) to streamline processes, enhance monitoring, and drive continuous improvement in compliance operations.
• Excellent organizational skills and ability to manage competing priorities and deadlines.
• Customer service oriented with a consultative approach to collaborating with peers and business partners.

Responsibilities

• Provide education to Invesco North America employees by answering their questions and concerns around personal trading, outside business activities, political contributions, and gifts and entertainment.
• Coordinate and support small- to mid-sized projects, ensuring effective planning, stakeholder alignment, and timely delivery of compliance-related initiatives.
• Monitor employee completion of reports from time to time as required by policy. This includes, but is not limited to, submission of initial/annual acknowledgement forms, brokerage account listings, initial/annual holdings reports, and quarterly transaction reports.
• Review personal trading pre-clearance requests to determine if it should be approved or denied based on the personal trading policy using the Star Compliance Employee Conflicts of Interest system.
• Conduct post-trade monitoring of all personal securities transactions to verify compliance with the trading policy.
• Conduct investigations of conduct that violates the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies by any employee and issue letters of education as required.
• Performs other tasks as needed.

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