Senior Compliance Officer

Invesco
Houston, Atlanta
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Prioritization","Problem-solving","Communication","Judgment","Attention to detail"]

Serve as an Advisory Compliance partner for the Americas, supporting compliance with state, federal, and self-regulatory requirements. Coordinate centralized internal and external client reporting, Board reporting, trade surveillance, and policy/procedure reviews. Handle reporting, due diligence, and oversight requests for Canadian sub-advised mandates and institutional clients, completing compliance trade review and helping develop and maintain policies, procedures, and compliance initiatives.

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Invesco
Invesco
1 month ago

Senior Compliance Officer

âś“ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 16 hours agoStatus: Closed

Job Summary

Serve as an Advisory Compliance partner for the Americas, supporting compliance with state, federal, and self-regulatory requirements. Coordinate centralized internal and external client reporting, Board reporting, trade surveillance, and policy/procedure reviews. Handle reporting, due diligence, and oversight requests for Canadian sub-advised mandates and institutional clients, completing compliance trade review and helping develop and maintain policies, procedures, and compliance initiatives.
Location: Houston, Atlanta
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Coordinate monthly, quarterly, annual, and ad-hoc client reporting delivery and tracking.
  • •Act as a point of contact for internal and external stakeholders for compliance requests.
  • •Prepare reporting materials for clients and internal Boards.
  • •Support regulator and client reporting obligations for Canadian sub-advised mandates, including coordination with internal partners.
  • •Perform compliance trade review/analysis/oversight and assist with development, implementation, and maintenance of policies and procedures.

Pay and Benefits

Perks:Paid LeaveHybrid Work401k MatchingHealth InsuranceParental LeaveEquity

Key Requirements

  • •Bachelor’s degree with a focus in Finance, Business or related fields.
  • •5+ years of experience in financial services, including at least 2 years of direct compliance experience.
  • •Knowledge of securities regulations including NI 81-102, NI 31-103, Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.
  • •Working knowledge of investments, trading, back-office operations, and securities laws/regulations.
  • •Familiarity with trading systems’ compliance components such as Charles River, Bloomberg, Aladdin, or similar platforms. (FINRA Series 7 and related compliance credentials are a plus.)
Experience:5+ yearsFinancial services
Education:Bachelor's in Finance, Business or related degrees
Skills:PrioritizationProblem-solvingCommunicationJudgmentAttention to detail
Certifications:FINRA Series 7Securities Industry EssentialsCompliance Officer exam
Tech Stack:Charles RiverBloombergAladdinTrade reviewTrade surveillanceOrder managementMicrosoft OfficeMicrosoft Office suite

Company Brief

Invesco
Global investment management firm offering mutual funds, ETFs, retirement solutions, and institutional asset management services. Serves individual investors, financial advisors, and institutions across public and alternative markets.
Industry: Asset Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Atlanta, United States
Founded: 1935
WebsiteLinkedIn