Senior Communications Compliance Officer

Downers Grove, IL, United States
Posted 24 days ago
Main Location
Atlanta, GA, United States
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Invesco is one of the world’s leading global investment managers, entrusted with managing $1.2 trillion* in assets on behalf of clients worldwide. We are the 6th largest US retail asset manager and the 13th largest investment manager globally, and our more than 8,000 employees worldwide are dedicated to delivering an investment experience that helps people get more out of life. We are purely focused on managing a comprehensive range of active, passive and alternative investment capabilities, which we draw on to provide customized solutions aligned to client needs, our most important benchmark. (*As of May 31,2019)


Job Purpose (Job Summary):
Executes compliance review of communications to ensure adherence to local regulations and guidelines, as well as Invesco goals and standards. Lead projects to help support management and departmental needs. Monitors rules and regulations and as needed, amending/developing and implementing policies and procedures that are necessary to ensure that Invesco’s North American subsidiaries operate in accordance with the sales material/communications compliance rules and regulations set forth by federal and state agencies, self-regulatory organizations and internal policies. Communicate/train internal business partners and Compliance staff on rules and regulations interpretations and the policies and procedures related to Communications Compliance (Compliance).


Key Responsibilities / Duties:

  • Responsible for the day-to-day communication material review, approval and applicable regulatory filings based on requested deadlines.
  • This includes internal and external communications such as our website, emails, social media, presentations, brochures, flyers and more complex communication materials.
  • Provides advice on more complex matters to business partners.
  • Establish and maintain relationships with business partners to advise and consult on their business initiatives. Achieve this through in person meetings or conference calls.
  • Must be able to form a strong understanding of Invesco products, processes, and regulatory requirements
  • Research information and rules/regulations to assist in communication material reviews, including investigating, resolving and documenting issues to complex situations with periodic guidance
  • Adhere and apply broad Compliance related policies and procedures to materials
  • Enhance and maintain the internal web site application for sales and marketing material submissions as well oversee the compliance department intranet site
  • Establish and document compliance related policies and procedures and amending/updating as necessary
  • Monitor the effectiveness of administrative policies and procedures and make changes as required
  • Monitor proposed, adopted and amended rules and regulations, establishing/updating and documenting procedures, policies and training business partners to comply therewith
  • Plays a key role on project teams in the development and implementation of strategic projects related to compliance to include creating & maintaining project documentation;
  • Including measures of success, project plans status reports, issue tracking/escalation/resolution, and facilitating team meetings and work sessions and financial tracking/forecasting
  • Prepare formal presentations on project and status for business partners and management when needed.
  • Field incoming calls from internal business partners, independently evaluates situations, makes decisions and solves problems. Escalates issues to management if needed.
  • Provide Compliance training to Compliance professionals and business partners as needed

Work Experience / Knowledge:

  • Minimum 5 -8 years’ experience in the investment industry with investment management industry experience required.
  • Must have working knowledge of broker/dealer and advisory operations, transfer agent and other key department functions, investment management industry laws and regulations applicable thereto.
  • Must have extensive business knowledge of investment management business with sales and marketing emphasis to include a working knowledge of the industry laws and regulations applicable to communications compliance.

Skills / Other Personal Attributes Required:

  • Team player
  • Good communication skills including strong conflict resolution abilities
  • Open minded, flexible, and willing to listen for other people’s opinions.
  • Interpersonal skills necessary to effectively communicate over the phone with a variety of individuals at all technical levels are required.
  • Solutions oriented with business partners

Formal Education: 

  • Bachelor’s degree required. 

License/Registration/Certification: 

  • FINRA Series 7 preferred or within 180 days of employment
  • FINRA Series 24 within 240 days of obtaining Series 7 or employment if already possess Series 7
  • Series 7 and 24 Licensed candidates preferred


FLSA (US Only): Exempt


The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.

Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment.


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