Compliance Officer

Invesco Houston , TX 77020

Posted 2 months ago

As one of the world's leading asset managers, we are solely dedicated to delivering an investment experience that helps people get more out of life. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, explore your potential at Invesco

The Department

The Compliance Officer position will be an integral part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd. The incumbent will support the corporate mission statements by assisting the U.S. business operations with respect to compliance and applicable state, federal and self-regulatory agency requirements as well as substantial shareholder reporting requirements in jurisdictions throughout the Americas.

Your Role

As a Compliance Officer, you will be primarily responsible for ensuring that the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. You will provide support and advice across various departments and will support Compliance requirements related to the CFTC-registered Commodity Pool Operator, Commodity Trading Adviser, Form PF and Substantial Shareholder Reporting.

You will be responsible for:

  • Ensure that regulatory and compliance reports are filed timely and correctly.

  • Assist in responding to regulatory inquiries.

  • Ensure all compliance procedures are appropriately documented.

  • Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.

  • Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.

  • Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.

The experience you bring:

  • Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, SEC).

  • Experience preparing and submitting substantial shareholder filings and other regulatory reporting (e.g., Form PF, CPO-PQR, CTA-PR) preferred.

  • Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940;

  • Familiarity with trading systems and their compliance component such as Bloomberg, Aladin, or Charles River is a plus.

  • Knowledge of securities regulation, as it relates to operations within the financial services industry preferred.

  • Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus.

  • Proficiency in the Microsoft Office suite of applications is a plus.

  • Ability to interact well with all levels of employees.

  • Ability to communicate effectively with outside contacts.

  • An ability to drive projects and work independently and in a group setting.

  • Ability to accumulate, organize and assimilate large amounts of information.

  • Ability to condense, refine, simplify and communicate the purpose and significance of internal guidelines and external regulations.

  • Ability to apply specific situational information across broader Compliance themes and issues.

  • Bachelor's degree in a relevant field of study is required.

  • FINRA Series 6 or Series 7 is desirable.

What's in it for you?

Our people are at the very core of our success, and we strive to provide employees with a competitive total rewards package which includes:

  • Flexible Vacation and Remote Work Benefits

  • 401K Matching

  • Health & Wellness Benefits

  • Parental Leave benefits

All Invesco employees are subject to Invesco's COVID-19 VACCINATION POLICY FOR EMPLOYEES, which provides that employees must be fully vaccinated against COVID-19. An exemption may be granted based on a medical contraindication or sincerely held religious belief. Fully vaccinated means that an individual has received all recommended doses of a COVID-19 vaccine that has received Emergency Use Authorization or full approval from the U.S. Food and Drug Administration (FDA) and that it has been at least two weeks since the final recommended dose.

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.

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Compliance Officer

Invesco