Sr. Compliance Officer

Invesco
Atlanta, Houston
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceEducation: bachelorsSkills: ["Collaboration","Documentation","Problem-solving","Strategic thinking","Attention to detail"]

Own preparation and timely filing of regulatory and compliance reports for U.S. and global shareholding requirements. As a Senior Compliance Officer, ensure business compliance with SEC/CFTC/NFA/FINRA and internal policies, lead documentation and procedure oversight, and address day-to-day compliance issues tied to trading strategy controls. Partner with internal teams to respond to regulatory inquiries and support compliance monitoring, testing, and controls for filings such as Form PF and CPO/C trading disclosures.

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FursaFursa
Invesco
Invesco
1 week ago

Sr. Compliance Officer

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Last checked: 4 hours agoStatus: Live

Job Summary

Own preparation and timely filing of regulatory and compliance reports for U.S. and global shareholding requirements. As a Senior Compliance Officer, ensure business compliance with SEC/CFTC/NFA/FINRA and internal policies, lead documentation and procedure oversight, and address day-to-day compliance issues tied to trading strategy controls. Partner with internal teams to respond to regulatory inquiries and support compliance monitoring, testing, and controls for filings such as Form PF and CPO/C trading disclosures.
Location: Atlanta, Houston
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Lead the preparation of regulatory and compliance reports and ensure they are filed timely and correctly.
  • •Collaborate with business partners to respond to regulatory inquiries.
  • •Provide oversight for documenting compliance procedures and modifying as required.
  • •Prepare and submit accurate substantial shareholder disclosures by the due date.
  • •Interact with the global compliance team to assess, document, monitor, and implement compliance monitoring activities, ongoing testing, and related controls.

Pay and Benefits

Perks:Paid Leave401k MatchingHealth InsuranceParental LeaveEquity

Key Requirements

  • •Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).
  • •Bachelor's degree in a relevant field of study is required.
  • •Knowledge of securities laws including the Securities Act of 1933, 34 and the Securities Exchange Act of 1940.
  • •Familiarity with disclosure of interests/substantial shareholding globally.
  • •Proficiency in the Microsoft Office suite of applications is required.
Experience:Asset management
Education:Bachelor's
Skills:CollaborationDocumentationProblem-solvingStrategic thinkingAttention to detail
Tech Stack:Microsoft OfficeBloombergCharles River

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