Senior Compliance Officer

About the Department The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, sub‑advised client oversight, product risk and 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. About the Role The Senior Compliance Officer assists Invesco’s Americas business operations with respect to compliance with applicable state, federal and self‑regulatory agency requirements. This position supports a variety of account types, including 1940 Act mutual funds, separate accounts, UCITS funds, 81‑102 accounts, collective trusts, commodity pools and other pooled vehicles, and coordinates consistency across the region for internal and external client reporting, board reporting, trade surveillance, policy and procedure review and other compliance needs. Responsibilities Assist in coordinating processes for efficiently delivering and tracking required client reporting on a monthly, quarterly, annual and ad‑hoc basis. Serve as a point of contact for internal and external stakeholders to facilitate and complete various requirements and requests. Prepare report materials for clients and internal boards. Support regulator and client reporting obligations for Canadian sub‑advised mandates, including coordination with internal partners. Respond to reporting, due diligence and oversight requests from Canadian sub‑advisory, wrap and institutional client inquiries. Complete trade review, analysis and 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. Track and deliver projects with accuracy and complete them ahead of deadlines. Interact with members of the global compliance team to assist with compliance initiatives. Present complex information in a professional and easy‑to‑understand manner. Serve as a liaison between the business and compliance for various compliance‑related initiatives. Complete special projects as assigned. Requirements Bachelor’s Degree with a focus in Finance, Business or related fields. Minimum of 5 years of experience within the financial services industry, with at least 2 years of direct compliance experience. Knowledge of securities regulation (National Instrument 81‑102, National Instrument 31‑103, Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934) as they relate to operations within the advisory compliance for mutual funds, institutional mandates and separate accounts. Working knowledge of investments, trading, back‑office operations, financial services industry and securities laws/regulations. Broad experience with the regulatory environment (SEC, CFTC/NFA, FINRA, OSC, CSA and ERISA). Familiarity with trading systems and their compliance component, such as Charles River, Bloomberg, Aladdin or similar order management/compliance rules‑based systems. FINRA Series 7, Securities Industry Essentials, Compliance Officer exam or certification in a related field of practice is a plus. Strong prioritization, problem‑solving, oral and written communication skills and the ability to interact well with all levels of employees. Good judgement to elevate issues to the next level of leadership for resolution as needed. Positive attitude and ability to work both independently and in a team atmosphere. Strong attention to detail, work ethic and pride in work. Strong quantitative, analytical and problem‑solving skills, including the ability to accumulate, organize and assimilate large amounts of information. Ability to condense, refine, simplify and communicate the purpose and significance of internal and external regulations. A desire to learn, grow and assume more responsibility, as appropriate. Proficiency in the Microsoft Office suite of applications required. Employment Details Full Time / Part Time: Full time. Job Exempt: Yes. Equal Opportunity Employment We are 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. #J-18808-Ljbffr