Compliance Officer
2 weeks ago
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.
- 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.
- FINRA Series 6 or Series 7 is desirable.
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.
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