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Job Type
Full Time
Job Details
As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Job Description The Team: The Compliance Department is an integral part of Invesco’s overall risk management structure. Compliance is responsible for assessing compliance risk, communicating requirements, independently assessing adherence and escalating issues of non-compliance. Compliance works with business management in identifying and prioritizing areas of risk. Your Role: This position primarily supports Invesco’s registered broker-dealers. Under general supervision of the Broker Dealer & UIT CCO, the Compliance Manager is responsible for monitoring rules and regulations and as needed, amending/developing, and implementing policies and procedures that are necessary to ensure that Invesco’s subsidiaries operate in accordance with the rules and regulations set forth by federal and state agencies, self regulatory organizations, and internal policies. You will be responsible for:
- Oversee Invesco broker dealer UIT compliance program.
- Oversee Invesco affiliate broker dealer trading compliance program.
- Testing and monitoring related to UIT and affiliate broker dealer trading.
- Assist with trade surveillance within the Charles River Development (CRD) trade-order and execution management system.
- Oversee broker dealer clearing and execution arrangements.
- Perform certain vendor due diligence reviews.
- Key role in production of annual CCO reporting (FINRA 3130 / 3120 and SEC 38a-1 / 206(4)-7).
- Maintain relationships with regulatory authorities.
- Monitor proposed, adopted, and amended rules and regulations.
- Act as Compliance lead for broker dealer regulatory related exams, inquiries, and investigations.
- Help facilitate FINRA and NFA branch inspections administered by Distributor Compliance.
- Key role in developing and implementing internal compliance training programs.
- Develop and maintain required broker dealer and UIT policies and procedures (Written Supervisory Procedures, UIT Compliance Manual and other related policies).
- Advise business partners of regulatory and compliance requirements and respond to queries from internal clients, including the UIT portfolio management and trade operations teams, and Invesco capital markets (trading desk)
- Participates in Compliance initiatives and projects as may be assigned.
- FINRA Series 7 and 53 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 53)
- 5 to 10 years’ experience working in a broker dealer, UIT and trade surveillance environment required.
- Proficient working knowledge of: (1) broker dealer operations; (2) UIT creation process; (3) trade reporting (CAT, TRACE and MSRB); (4) SEC Rule 17e-1 (transactions with affiliates); and (5) Charles River Development (CRD) trade-order and execution management system.
- Ability to understand complex rules and regulations and communicate them to all levels of staff, including senior management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures.
- Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines.
- Must exhibit software knowledge in word-processing, graphics, spreadsheet development, SharePoint and Windows applications while ensuring that all work is accurate.
- 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
About the Company
Invesco, Ltd.
Atlanta, GA, United States
We’re proud to be an investment firm that achieves moretogether. One that’s focused on doing work that matters. One that gives a voice to every... Read more