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.

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The Team

The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, sub-advised client oversight, and product risk.  Our objective is to provide strategic advice, implement and synergize controls across the region and perform compliance oversight to protect Invesco from regulatory, reputational, and financial risk.

Your Role

The Senior Compliance Officer position assists Invesco's Americas business operations with respect to compliance with applicable state, federal and self-regulatory agency requirements.  This position will have the opportunity to support a variety of account types, including 1940 Act mutual funds, separate accounts, UCITS funds, 81-102 Accounts, collective trusts, commodity pools and other pooled vehicles.  The Senior Compliance Officer position requires knowledge of a variety of equity, fixed income, and derivative security types. This person will assist in coordinating and creating consistency across the Americas region for centralized internal and external client reporting requests to meet compliance standards and requirements, Board reporting, trade surveillance, policy and procedure review, and other compliance department needs.

You Will Be Responsible For:

• Assisting in coordinating processes for efficiently delivering and tracking required client reporting on a monthly, quarterly, annual, and ad-hoc basis

• Serving as a point of contact for internal and external stakeholders to facilitate and complete a variety of requirements and requests

• Preparing report materials for clients and internal Boards

• Responding to sub-advisory, wrap and institutional client inquiries

• Completing various aspects of trade review/analysis/oversight and other reviews for compliance with applicable regulations

• Assisting in the development, implementation, and maintenance of policies and procedures.

• Assisting with projects and initiatives involving technology, data analysis, surveillance and other Compliance initiatives for the Americas region.

• Tracking and delivering projects with accuracy for completion of projects in advance of deadlines.

• Interacting with members of the global compliance team to assist with Compliance initiatives.

• Presenting complex information in a professional and easy to understand manner.

• Serving as a liaison between the business and Compliance for various compliance-related initiatives.

• Completing special projects as assigned.

The Experience You Bring:

• Minimum of 3 years of experience within the financial services industry required with at least 2 years of direct compliance experience.

• Knowledge of securities regulation (Investment Advisers Act of 1940 and Investment Company Act of 1940), as it relates to operations within the advisory compliance for mutual funds, institutional mandates and separate accounts preferred.

• Working knowledge of investments, trading, back-office operations, financial services industry and securities laws/regulations is preferred.

• Broad experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA) is preferred.

• Familiarity with trading systems and their compliance component such as Charles River, Bloomberg, Aladdin, or similar order management/compliance rules-based systems.

• Bachelor’s degree in a relevant field of study required

• FINRA Series 7 preferred.

The skills you bring:

• Uses strong prioritization, problem solving, oral and written communication skills and the ability to interact well with all levels of employees.

• Uses good judgement to elevate issues to the next level of leadership for resolution as needed.

• Have a positive attitude and work well both independently and in a team atmosphere.

• Strong quantitative, analytical, problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

• Ability to condense, refine, simplify and communicate the purpose and significance of internal and external regulations.

• A desire to learn, grow, and assume more responsibility, as appropriate.

• Proficiency of the Microsoft Office suite of applications required.

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office. 

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.