Senior Compliance Officer

About the role

The Senior Compliance Officer position will assist in coordinating and creating consistency across the Americas region for centralized internal and external client reporting requests to meet compliance standards and requirements, Board reporting, trade surveillance, policy and procedure review, and other compliance department needs.

Responsibilities

• Execute day-to-day compliance monitoring, reporting and testing activities.
• Support responses to regulatory exams, internal audits, and ad-hoc regulatory inquiries.
• Advise partners on policy interpretation and escalate potential issues appropriately.
• Maintain and improve compliance procedures, workflows, and documentation.
• Monitor and interpret regulatory developments affecting ETFs and investment advisers.
• Maintain accurate compliance records in alignment with regulatory and internal standards.
• Identify operational or regulatory risks and support issue tracking and remediation.
• Prepare report materials for clients and internal Boards.
• Respond to sub-advisory and institutional client inquiries.
• Complete projects and initiatives as assigned, including technology, data analysis, surveillance, and other Compliance initiatives.
• Interact with members of the global teams to assist with Compliance and Business initiatives.

Requirements

• Bachelor’s degree preferred in finance, accounting, or a related field.
• Minimum 3 years of experience in asset management or related financial services.
• Knowledge of domestic and international securities laws (e.g., 1940 Act, etc.).
• Excellent communication and teamwork skills to collaborate with peers and business partners.

Qualifications

• Knowledge of a variety of equity, fixed income, and derivative security types.

Skills

• Detail-oriented compliance professional.

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 Downers Grove is $100,000 - $111,000/year.

Schedule

This role is full-time.

Workplace Model

Pursuant to Invesco’s Workplace Policy, employees are expected to comply with the firm’s most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office.