Compliance Officer

As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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.

About the role

The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, Board reporting, Canadian and U.S. sub-advised client oversight, and product risk – among other compliance functions. The role assists Invesco's Americas business operations with compliance to applicable state, federal, and self-regulatory agency requirements, primarily supporting Invesco Canada Ltd. (“ICL”). Responsibilities include policy and procedure reviews, conflict of interest assessments, coordination and execution of regulatory filings and registrations, and support for other Invesco areas such as Multi-Asset Strategies, electronic communication review, and 12d1-4 fund of fund compliance.

Responsibilities

• Assist the ICL CCO with regulatory filings, keeping policies and procedures current, and reviewing conflicts.
• Serve as a point of contact for internal and external stakeholders to facilitate and complete a variety of requirements and requests.
• Complete various aspects of trade review/analysis/oversight and other reviews for compliance with applicable regulations.
• Assist in the development, implementation, and maintenance of policies and procedures.
• Support projects and initiatives involving technology, data analysis, surveillance, and other Compliance initiatives for the Americas region.
• Interact with members of the global compliance team to assist with Compliance initiatives.

Requirements

• Minimum of 3 years of experience within the financial services industry or equivalent coursework.
• Knowledge of securities regulation, particularly as it relates to advisory compliance (mutual funds or institutional) preferred.
• Working knowledge of back-office operations, financial services industry, and securities laws/regulations is a plus.
• Knowledge of both US and Canadian regulatory environments is preferred.
• Ability to work both independently and in a team atmosphere.
• Strong organizational skills to manage multiple simultaneous projects and responsibilities.
• Strong attention to detail, work ethic, and pride in work.
• Ability to communicate effectively with senior management and investment professionals.
• Proficiency in Microsoft Office suite of applications.
• Bachelor’s degree in a relevant field of study.

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

Schedule

Employees are expected to comply with Invesco’s Workplace Policy, which includes spending at least four full days each week working in an Invesco office.