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Compliance Officer, Investments

Invesco

Invesco

Legal
Houston, TX, USA
Posted on Thursday, June 13, 2024

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 Department

The overall responsibility of this Compliance Officer position is to assist Invesco, Ltd.’s U.S. business operations with respect to compliance with applicable state, federal and self-regulatory agency requirements. The right candidate will have the opportunity to support a variety of Fixed Income account types including but not limited to Stable Value, Mutual Funds, Institutional, ERISA, and Collective Trust.

Your Role

The primary responsibilities of this position will include day to day monitoring of exception items within the Aladdin or CRD order management systems (“OMS”). This position is also responsible for maintaining documentation for each account and associated workflow and background information in the global investment restrictions database and workflow tool UnifyIC.

Additional responsibilities include client reporting, project management, real time compliance responsibility, forensic and transactional testing, becoming a resource to senior management, and participating in new product launches. Interaction on a daily basis will be required with Investments, Sales, Product Development, and Operations personnel, and other Global Legal and Compliance team members; regarding policies, procedures and controls to support investment operations in real time and through ongoing projects.

You will be responsible for:

  • Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied in the OMS by the Compliance department.

  • Maintain Evergreen Compliance - Lead and conduct reviews of Investment guidelines to maintain evergreen Compliance environment; Assign, monitor, and maintain rules and documentation in the OMS and global investment restrictions database and workflow tool Unify IC.

  • Product Line Responsibility - Specific functional responsibility for monitoring assigned accounts within the OMS. Candidate will be responsible for all aspects of Investments Compliance for a specific product line of asset management products.

  • Client Reporting - Interface with internal departments as part ongoing client reporting, survey completion, and ad hoc request from various departments and clients of assigned products for which this position is responsible.

  • Resource to Sr. Management - Serve as a liaison between the leaders of the business and Compliance departments to resolve any new or outstanding concerns. Present complex information in a professional and easy to understand manner through written materials or presentations for a wide variety audiences.

  • New Product Launches - Ongoing review of new and existing products and participate in new product launches to ensure regulatory compliance and appropriate development of strategy within all required regulatory requirements.

  • Forensic and Transactional Testing - Lead and conduct forensic, periodic, and transactional testing to ensure compliance with all applicable state, federal and self-regulatory agency requirements to ensure compliance of the U.S. Asset Management Business Groups.

  • Project Management - Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.

The experience you bring:

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

  • Knowledge or experience with Stable Value, ERISA, and Institutional Clients preferred.

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

  • Working knowledge or experience of back office operations, financial services industry, and securities laws/regulations is a plus.

  • Interest in Fixed Income investments and related products is required.

  • Knowledge of securities markets and operations within the financial services industry is preferred.

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

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

License/Registration/Certification:

  • FINRA Series certifications is a plus.

  • Certification in a related field of practice is a plus.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

Workplace Model

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.

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:

  • 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

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.