Associate Compliance Officer
Job details
As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.
What's in it for you?Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:
Generous annual leave plus flexible paid time off
Hybrid work schedule
Learning and development programs
Health & wellbeing benefits
Parental Leave benefits
Employee stock purchase plan (if applicable in your region)
Job Description
Regulatory/Business/Central/Financial Crime Compliance
Review sales materials, documents and external communication
Provide regulatory advice on business, ad hoc issues and incidents
Communicate compliance issues and build relationship with internal clients and keep business updated.
Support head of Compliance to implement Financial Crime related compliance framework and controls
Implement internal controls relating to Code of Ethics (i.e. personal account dealing, gifts and entertainment and other controls)
Deal with (self) regulators, build and maintain good relationship
Revise internal rules and policies and publicize them
Promote a spirit of compliance to ensure employees to comply with the rules and regulations
To support IC Officer who monitors related investment guidelines.
Support IC Officer to perform contract Analysis
Provide advice on client contract/prospectus development
Support IC Officer to review and document regulatory and client investment restrictions
Support IC Officer to validate requirements and resolve interpretive issues (ambiguous language)
Participate in regional and/or global compliance projects/initiatives as required
Supervise Personal Trade Activity
Large Share Holding Report for Japanese EQ
Skills and Requirements
Regulatory/Business Compliance is preferable
Experience of Compliance in Asset Management industry: over 3 years is preferred
More than 3 years of trading or compliance at a financial services or investment firm
Experience of Compliance in Financial Industry: over 3 years
Regulatory/Business Compliance is preferable
Business English communication skill
Broad knowledge of the financial industry and industry surveillance best practices
Self-motivated.
Communications, Teamwork and Leadership Skills are required.
Training and Coaching Skills are a plus
Confident with strong relationship-building and stakeholder management skills with business managers and technical teams
Strong organizational skills and capable of independently handling multiple projects to completion
Ability to work in a technology-focused and fast paced environment
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 four days a week, with one day working outside an Invesco office.
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 local laws governing non-discrimination in employment.
Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.
