Compliance Officer

Compliance Officer

The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, Board reporting, Canadian and U.S. sub-advised client oversight, and product risk – among other compliance functions. Our objective is to provide strategic advice, implement and synergize controls across the region and perform compliance oversight to protect Invesco from regulatory, reputational, and financial risk.

The overall responsibility of the Compliance Officer position is to assist Invesco's Americas business operations with respect to compliance with applicable state, federal and self-regulatory agency requirements. This role will support the OCCO with compliance requirements for Invesco Canada ltd. ("ICL"). The Canada responsibilities include policy and procedure reviews, conflict of interest assessments, coordination and execution of regulatory filings and registrations. As required, the role will also support other Invesco areas, including Invesco's Multi-Asset Strategies group, electronic communication review, and 12d1-4 fund of fund compliance. The Compliance officer position also assists with a variety of other activities, including trade reviews, policy and procedure review, and departmental organization and administration.

Responsibilities of the Role:

• Assist the ICL CCO with regulatory filings, keeping policies and procedures current, and reviewing conflicts
• Serve as a point of contact for internal and external stakeholders to facilitate and complete a variety of requirements and requests
• Complete various aspects of trade review/analysis/oversight and other reviews for compliance with applicable regulations
• Assist in the development, implementation, and maintenance of policies and procedures.
• Assist with projects and initiatives involving technology, data analysis, surveillance and other Compliance initiatives for the Americas region.
• Interact with members of the global compliance team to assist with Compliance initiatives.

Requirements of the Role:

• Minimum of 3 years of experience within the financial services industry or equivalent course work required.
• Knowledge of securities regulation, as it relates to operations within the advisory compliance (mutual funds or institutional) industry preferred.
• Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus.
• Knowledge of both US and Canadian regulatory environment is preferred.
• Work well both independently and in a team atmosphere.
• Ability to manage multiple simultaneous projects and responsibilities.
• Strong attention to detail, work ethic, and pride in work.
• Ability to communicate effectively with senior management and investment professionals.
• Proficiency of the Microsoft Office suite of applications required.
• Bachelor's degree in a relevant field of study required

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.