Compliance Mgr-Monitoring

About the Role

The Compliance Manager will be a key member of the Americas Compliance Monitoring team, responsible for executing risk-based compliance reviews, surveillance activities, and monitoring initiatives across Invesco's investment management businesses.

Responsibilities

• Execute and independently lead risk-based compliance reviews in accordance with the annual Compliance Monitoring Plan, including planning, scoping, stakeholder interviews, testing, reporting, and remediation validation.
• Assess compliance risks and evaluate the design and effectiveness of controls to determine adherence to policies, procedures, and applicable laws and regulations.
• Document testing procedures, workpapers, and results in accordance with Compliance Monitoring standards.
• Prepare clear and concise reports and presentations for senior management and the Funds' Board of Directors, summarizing testing objectives, methodology, results, observations, and conclusions.
• Partner with business and relevant stakeholders to develop, track, and validate Management Action Plans that address identified control weaknesses and compliance risks.
• Conduct surveillance reviews and perform analysis of ongoing monitoring activities, including the evaluation of market abuse and other compliance-related alerts.
• Partner with data analytics and technology resources to support compliance testing and surveillance activities through analytics, automation, monitoring methodologies, and technology-enabled solutions.
• Monitor regulatory developments and industry trends to identify emerging compliance risks and assess their potential impact on Invesco's businesses and Compliance Monitoring Program.

Requirements

• Bachelor's degree in Accounting, Finance, Business Economics or related business field.
• Minimum 5-7 years of experience in the financial services industry, preferably within the compliance, audit, risk, or control functions of an investment management firm.
• Prior experience with a regulatory agency is a plus.
• Strong knowledge of federal securities laws and regulations, including SEC and FINRA requirements, as well as regulatory requirements applicable to registered investment advisers and registered investment companies, including the Investment Advisers Act and Investment Company Act of 1940.
• Experience evaluating compliance risks, assessing the design and effectiveness of controls, and executing risk-based monitoring and testing activities.
• Comfortable working with data and leveraging data-driven insights to support compliance testing, monitoring activities, and decision-making.
• Familiarity with investment management and trading platforms, including compliance monitoring capabilities within systems such as Charles River and/or Aladdin, is a plus.

Benefits

• 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

Pay

The salary range for this position in New York City, New York is $140,000 - $160,000 per year. Total compensation includes salary and incentive pay and will vary based on skills, experience and location.

Schedule

Full-time position. Employees are expected to spend at least four full days each week working in an Invesco office (hybrid work model).