APAC IC Officer

Invesco
Tokyo
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceExperience: 2-4 yearsSkills: ["Attention to detail","Analytical judgment","Communication","Prioritization","Ownership mindset"]

Support regional Investment Compliance monitoring across APAC by validating pre-trade and post-trade alerts, challenging outputs, and escalating issues. Collaborate with investment, trading, and offshore/global compliance teams to manage investment restriction workflows, analyze client mandates and regulatory requirements, maintain audit trails, and respond to stakeholder queries. Help ensure rule testing/validation alignment and contribute to process improvements, regulatory change initiatives, and ad hoc compliance projects for Japan and Australia coverage.

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FursaFursa
Invesco
Invesco
2 days ago

APAC IC Officer

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Source: Company careers pageValidated by: Fursa AI
Last checked: 5 hours agoStatus: Live

Job Summary

Support regional Investment Compliance monitoring across APAC by validating pre-trade and post-trade alerts, challenging outputs, and escalating issues. Collaborate with investment, trading, and offshore/global compliance teams to manage investment restriction workflows, analyze client mandates and regulatory requirements, maintain audit trails, and respond to stakeholder queries. Help ensure rule testing/validation alignment and contribute to process improvements, regulatory change initiatives, and ad hoc compliance projects for Japan and Australia coverage.
Location: Tokyo
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Validate pre-trade alerts in order management systems, providing second-line challenge and clear documentation of analysis and outcomes.
  • •Oversee and validate post-trade batch monitoring outputs, performing root cause analysis and documenting compliance exceptions.
  • •Support investment restriction workflows with offshore and global Investment Compliance teams, including clarification of requirements and effective handoffs.
  • •Analyze client mandates, prospectuses, and regulatory requirements to identify investment restrictions, and participate in rule testing/validation activities.
  • •Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, and respond to stakeholder queries.

Pay and Benefits

Perks:Annual LeavePaid LeaveHybrid WorkLearning BudgetHealth InsuranceParental LeaveEquity

Key Requirements

  • •2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function (ideally in asset management or regulated financial services).
  • •Experience with investment compliance monitoring is preferred.
  • •Strong understanding of investment management processes, portfolio construction, and trading activity.
  • •Knowledge of investment products and strategies across APAC, including regulated retail funds, MPF, UCITS, index-tracking strategies, segregated mandates, and alternative investments.
  • •Hands-on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, or Bloomberg is beneficial.
Experience:2-4 yearsAsset managementRegulated financial services
Skills:Attention to detailAnalytical judgmentCommunicationPrioritizationOwnership mindset
Languages:EnglishJapanese
Tech Stack:AladdinCRIMS (CRD)Charles RiverBloombergOrder management systemsCompliance monitoring systems

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