Compliance Manager

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

Your Role

• Along with the ISSM compliance team, designs, implements, and monitors programs, policies and practices for compliance with regulatory and policy requirements by the relevant business areas.
• Collaborate with Invesco's deep U.S. Compliance bench on marketing, Anti-Money Laundering, personal conflict of interest (Code of Ethics, etc.) and regulatory reporting matters.
• Reports on a regular basis to the CCO and business senior management on the progress of implementation and assists those teams in practically implementing the compliance program.
• Along with the ISSM compliance team, periodically revises the program considering changes in the needs of the organization, including the broader Invesco Private Markets platform, and in the law and policies and procedures surrounding RIAs and alternatives firms.
• Along with the ISSM compliance team, develops, coordinates, and participates in a multifaceted educational and training program that focuses on the elements of the compliance program.
• Along with the ISSM compliance team, coordinate responses to investor, adviser-sub-adviser, internal stakeholder and regulatory requests and/or reporting (including Form ADV, Form PF, etc.).
• Along with the ISSM compliance team, coordinates the internal risk assessment, monitoring and testing program and works with business partners to address findings and observations.
• Along with the ISSM compliance team, independently investigates and acts on matters related to compliance (e.g. responding to reports of problems or suspected violations) and coordinates any resulting corrective actions.
• Along with the ISSM compliance team, coordinates with Invesco Ltd.'s internal audit department to identify potential controls to audit and assists that team in their review efforts, as needed.
• Undertakes special compliance-related projects assigned by the Chief Compliance Officer and other senior compliance personnel (e.g., forensic testing, ad hoc requests pertaining to ISSM and Invesco Private Markets).
• The salary range for this role in NYC is $150,000 - 160,000. The total compensation offered for this position includes salary and incentive pay and will vary based on skills, experience and location
  

The experience you bring:

• Minimum 6 years of financial services industry experience required with three years of advisory compliance experience.
• Experience with alternatives products strongly preferred, including credit, fund-of-fund, venture and private equity products.
• Compliance experience with the Investment Advisers Act of 1940.
• Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and AIFMD regimes).
• Broad knowledge of federal securities laws and regulations.

• Self-starter who is willing to explore improvement opportunities without being asked.
• Highly organized with strong attention to detail.
• Strong verbal and written communication skills.
• Ability to work independently and as part of a team.
• Ability to work proficiently in a pressured environment.
• Ability to handle confidential information.
• Ability to communicate clearly with persons at a wide range of levels on sensitive matters.
• Ability to critically think before responding.
• Ability to condense, refine, simplify, and communicate the purpose and significance of internal and external regulations.
• Ability to develop operating policies and procedures based on business needs.
• Expert/proficient in MS Excel, PowerPoint, Word and similar products.

Formal Education:

• BA/BS degree.
• MBA or JD a plus.
• Certification in a related field of practice is a plus.

License / Registration / Certification:

• FINRA Series 7 and 24 licensed candidates a plus.

Work Model (In Office / Hybrid / Remote)

Hybrid

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

What's in it for you?

Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:

• Flexible time off and opportunities for a flexible work schedule
• 401(K) matching of 100% up to the first 6% with additional 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.