Sr. Compliance Officer

About the role

The Compliance Officer monitors employee compliance with various policies and supports small- to mid-sized projects related to ethics and compliance.

Responsibilities

• Provide education to Invesco North America employees regarding personal trading, outside business activities, political contributions, and gifts and entertainment.
• Cookordination and support of compliance-related initiatives, including planning, stakeholder alignment, and timely delivery.
• Monitor employee completion of reports as required by policy, such as initial/annual acknowledgement forms, brokerage account listings, initial/annual holdings reports, and quarterly transaction reports.
• Review personal trading pre-clearance requests and determine approval or denial based on the personal trading policy.
• Conduct post-trade monitoring of personal securities transactions to ensure compliance with the trading policy.
• Conduct investigations of conduct violations and issue letters of education as necessary.

Requirements

• Bachelor’s degree or equivalent.
• Strong analytical skills with the ability to make critical, time-sensitive decisions.
• Interest in compliance area and financial services markets.
• Strong digital acumen with the ability to leverage systems and emerging technologies to streamline processes, enhance monitoring, and drive continuous improvement.
• Excellent organizational skills and ability to manage competing priorities and deadlines.
• Customer service oriented with a consultative approach to collaborating with peers and business partners.