Sr. Compliance Officer
Telepathy, Inc.
Senior Compliance Officer
This position will be an integral part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd. The incumbent will support the corporate mission statements by assisting the U.S. business operations with respect to compliance and applicable state, federal and self-regulatory agency requirements, and assist business operations globally with respect to major shareholding regulatory reporting requirements. As a Senior Compliance Officer, you will be primarily responsible for ensuring that the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. You will provide support and advice across various departments and will support Compliance requirements related to the CFTC-registered Commodity Pool Operator, Commodity Trading Adviser, Form PF and global Substantial Shareholder reporting as required.
Responsibilities of the Role:
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.
Oversight to document compliance procedures and modify as required.
Prepare and submit accurate substantial shareholder disclosures by the due date.
Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.
Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.
Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.
Support the department's strategic direction in alignment with the department and Company's mission.
Requirements of the Role:
Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).
Bachelor's degree in a relevant field of study is required.
A compliance/legal or audit background with exposure to regulatory reporting in the Asset Management industry is a plus.
Experience with SEC, FINRA, CFTC, NFA, FCA, PRA and familiarity with disclosure of interests/substantial shareholding globally.
Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940.
Familiarity with trading systems and their compliance component such as Bloomberg, or Charles River is a plus.
Knowledge of securities regulation, as it relates to operations within the financial services industry preferred
Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus.
Proficiency in the Microsoft Office suite of applications is required.
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