Compliance Officer

1 week ago

Atlanta, Georgia, United States Invesco Full time
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

This position will be an integral part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd.

The incumbent will support the corporate mission statement by assisting the U.S.

business operations with respect to compliance and applicable state, federal and self-regulatory agency requirements as well as substantial shareholder reporting requirements in jurisdictions throughout the Americas.


Your Role:


As a Compliance Officer, you will be primarily responsible for ensuring that the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards.

You will provide support and advice across various departments and will support Compliance requirements related to the CFTC-registered Commodity Pool Operator, Commodity Trading Adviser, and Form PF.


You will be responsible for:
Ensure that regulatory and compliance reports are filed timely and correctly.
Assist in responding to regulatory inquiries.
Ensure all compliance procedures are appropriately documented.

Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.

Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.

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.

Support other Regulatory Reporting areas such as Substantial Shareholder Reporting when necessary.

The experience you bring:
Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, SEC).
Experience preparing and submitting Form PF, CPO-PQR, CTA-PR and other NFA filings preferred.
Experience preparing and submitting substantial shareholder filings is a plus.
Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940;
Familiarity with trading systems and their compliance component such as Bloomberg, Aladin, or Charles River is a plus.
Knowledge of securities regulation, as it relates to operations within the financial services industry preferred.
Working knowledge of back office operations, financial services industry and securities laws/regulations are a plus.
Proficiency in the Microsoft Office suite of applications is a plus.
Ability to accumulate, organize and assimilate large amounts of information.
Ability to condense, refine, simplify and communicate the purpose and significance of internal guidelines and external regulations.
Ability to apply specific situational information across broader Compliance themes and issues.

License / Registration / Certification:
FINRA Series 6 or Series 7 is desirable.
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.

Estimated Salary:
$20 to $28 per hour based on qualifications.

  • Compliance Officer

    3 weeks ago

    Atlanta, Georgia, United States Truist Full time

    The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.Need...

  • Export Control Compliance Officer

    2 weeks ago

    Atlanta, Georgia, United States Georgia Institute of Technology Full time

    Export Control Compliance Officer (Hybrid)Job ID272241LocationAtlanta, GeorgiaFull/Part TimeFull-TimeRegular/TemporaryRegularAbout UsGeorgia Tech prides itself on its technological resources, collaborations, high-quality student body, and its commitment to building an outstanding and diverse community of learning, discovery, and creation. We strongly...

  • CRA Compliance and Exam Management Officer

    2 weeks ago

    Atlanta, Georgia, United States Truist Full time

    The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.Need...

  • Senior Director, Compliance

    2 weeks ago

    Atlanta, Georgia, United States Equifax Full time

    The Senior Director, Compliance, will provide support for regulatory inquiries and exams. The position will have responsibility for internal efforts to respond to requests from U.S. regulators with supervisory authority over Equifax, including the Consumer Financial Protection Bureau (CFPB) and State financial services and consumer protection agencies,...

  • Compliance Specialist

    3 weeks ago

    Atlanta, Georgia, United States City of Atlanta, GA Full time

    Minimum Qualifications - Education and ExperienceBachelor's degree in business administration or legal Studies or equivalent field required.3 to 5 years of related experience.Licensures and CertificationsPosition would be expected to have licensure or professional certifications appropriate to the position.Essential Capabilities and Work Environment:Required...

  • Compliance Specialist

    3 weeks ago

    Atlanta, Georgia, United States WAHVE LLC Full time

    Job Description Job Description b" Compliance Specialist - Rate Filing - REMOTE Put your Insurance Experience to work - FROM HOME At Wahve, we value significant insurance experience and want to revolutionize the way people think about phasing into retirement by offering qualified candidates the opportunity to continue their career working from home. As we...

  • Trade Compliance Manager

    3 weeks ago

    Atlanta, Georgia, United States Larson Maddox Full time

    Overview of the Role of Trade Compliance Manager:Joining our team as the Trade Compliance Manager means taking on the crucial task of developing, implementing, and overseeing our trade compliance program. You'll play a key role in ensuring that all import and export activities adhere to the necessary laws and regulations, reducing potential risks and...

  • Compliance and Billing Manager

    1 month ago

    Atlanta, Georgia, United States Shepherd Center Full time

    Shepherd Center, located in Atlanta, Georgia, is a private, not-for-profit hospital specializing in medical treatment, research and rehabilitation for people with spinal cord injury, brain injury, stroke, multiple sclerosis, spine and chronic pain, and other neuromuscular conditions. Join us in our mission to help people with a temporary or permanent...

  • Compliance Business Analyst 1

    3 weeks ago

    Atlanta, Georgia, United States State of Georgia Full time

    POSITION SUMMARY: Under general supervision, the Property and Casualty Complaints Analyst reviews for compliance with the rules, regulations, and laws in determining eligibility for complaints and monitors compliance.ESSENTIAL DUTIES and RESPONSIBILITIES: Examines property and casualty consumer inquiries of non-compliance made against insurance companies,...

  • Director II Compliance

    3 weeks ago

    Atlanta, Georgia, United States Elevance Health Full time

    Anticipated End Date: Position Title: Director II Compliance Job Description: Director II Compliance Location: This position will work a hybrid model (remote and office). The Ideal candidate will live within 50 miles of one of our Elevance Health PulsePoint locations. Carelon Health is a proud member of the Elevance Health family of brands, offering...

  • Attorney - Compliance - Atlanta, GA

    1 month ago

    Atlanta, Georgia, United States CRH Full time

    Job ID: 494725 CRH is a leading global diversified building materials group, employing over 75,800 people at more than 3,160 locations in 29 countries. CRH is the leading building materials company in North America and the world. We manufacture and distribute a diverse range of superior building materials, products, and solutions, which are used extensively...

  • DBE Compliance Specialist-Hybrid

    3 weeks ago

    Atlanta, Georgia, United States Rohadfox Construction Control Full time

    Job Description Job Description Rohadfox Construction Control Services is currently looking for a DBE (Disadvantage Business Enterprise) Compliance Specialist for the remaining 6 years on this 9- year transportation project located in Atlanta, GA. You would be hired as our full-time employee, eligible for medical benefits, PTO and a 401k. This position may...

  • Compliance Processor

    3 weeks ago

    Atlanta, Georgia, United States The Integral Group LLC Full time

    The Integral Group is Sourcing for candiates in the following cities:Atlanta. GAPrimary Responsibility: Compliance Processors are affordable leasing specialists and are detailed individuals that are the successful processing necessary documents to facilitate affordable leasing. They are expected to provide an excellent customer service experience for all...

  • Financial Compliance Program Manager

    1 week ago

    Atlanta, Georgia, United States Georgia Institute of Technology Full time

    Financial Compliance Program ManagerJob ID272854LocationAtlanta, GeorgiaFull/Part TimeFull-TimeRegular/TemporaryRegularAbout UsOverviewGeorgia Tech prides itself on its technological resources, collaborations, high-quality student body, and its commitment to building an outstanding and diverse community of learning, discovery, and creation. We strongly...

  • Manager SOX Compliance

    1 week ago

    Atlanta, Georgia, United States Norfolk Southern Corp. Full time

    Requisition 37237: B5 Manager Sarbanes-Oxley Compliance #LI-VS1A resume helps you stand out to hiring managers and recruiters; your resume communicates your experience and your brand. While it is not required, we encourage you to include an up-to-date resume along with a completed job application to give you the best opportunity to be considered. A complete...

  • Principal Program Lead, International Compliance

    3 weeks ago

    Atlanta, Georgia, United States Chick-fil-A Full time

    Responsibilities Responsible for compliance across multiple disciplines including international payroll and foreign tax returns for both domestic and International Division Staff. Lead the program responsible for executing compliant international program components (payroll, payroll tax, payroll compliance) in a rapidly-changing regulatory environment,...

  • Supervisor, Parking Compliance- Campus Services

    3 weeks ago

    Atlanta, Georgia, United States Emory University Full time

    Supervisor, Parking Compliance- Campus ServicesJob Number Job Type Regular Full-Time Division Campus Services Department CS Parking Services This position may involve the following Health and Safety issues: Not Applicable Job Category Facility Support & Building Maintenance Campus Location (For Posting) : City Atlanta Location : Name Emory Campus-Clifton...

  • Loan Officer

    3 weeks ago

    Atlanta, Georgia, United States 1st Choice Credit Union Full time

    Job DescriptionJob Description1st Choice Credit Union is seeking an experienced Loan Officer, this individual will be responsible for performance of all lending activities within the credit union, insuring compliance with credit union lending policy; assisting with development of lending policy; maintain lending activity to meet credit union goals and...

  • Business Office Manager

    3 weeks ago

    Atlanta, Georgia, United States FOUNTAINVIEW CENTER LP Full time

    Job DetailsLevel Management Job Location The Fountainview Center - Atlanta, GA Remote Type N/A Position Type Full Time Education Level High School Salary Range Undisclosed Travel Percentage Up to 25% Job Shift Undisclosed Job Category Human Resources Description The Fountainview Center for Alzheimer's Disease is Atlanta's premier skilled nursing care and...

  • Director, SOX Compliance and Financial Controls

    7 days ago

    Atlanta, Georgia, United States AmeriCold Logistics Full time

    What You'll Do: The primary responsibility of the Director, SOX Compliance & Financial Controls is to ensure the company's adherence to regulatory requirements outlined in Sarbanes Oxley Act. Your duties include developing, implementing, and overseeing internal controls, policies, and procedures to ensure accurate financial reporting and SOX compliance....