Compliance Officer, ETF

Compliance Officer

The Compliance Officer position will assist in coordinating and creating consistency across the Americas region for centralized internal and external client reporting requests to meet compliance standards and requirements, Board reporting, trade surveillance, policy and procedure review, and other compliance department needs.

As a Compliance Officer, you will contribute to the effective execution of compliance monitoring, testing, and regulatory support for Invesco's 1940 Act ETFs and related accounts. You will assist business partners by interpreting policies, identifying risks, and escalating issues appropriately. You will help maintain compliance procedures, documentation, and reporting while supporting interactions with regulators and internal oversight groups. This role is ideal for a detail-oriented compliance professional looking to deepen ETF expertise and expand advisory experience.

Responsibilities of the Role:

• Execute day-to-day compliance monitoring, reporting and testing activities.
• Support responses to regulatory exams, internal audits, and ad-hoc regulatory inquiries.
• Advise partners on policy interpretation and escalating potential issues appropriately.
• Assist in the maintenance and improvement of compliance procedures, workflows, and documentation.
• Monitor and interpret regulatory developments affecting ETFs and investment advisers.
• Maintain accurate compliance records in alignment with regulatory and internal standards.
• Identify operational or regulatory risks and support issue tracking and remediation.
• Assist with preparation of report materials for clients and internal Boards.
• Assist with projects and initiatives as assigned, including technology, data analysis, surveillance, and other Compliance initiatives.
• Interact with members of the global compliance team to assist with Compliance initiatives.

Requirements for the Role:

• Bachelor's degree is preferred in finance, accounting, or a related field.
• 13 years of investment compliance, ETF oversight, or related asset management experience.
• Prior exposure to regulatory exams, compliance testing, or ETF operations is a plus.
• Knowledge of domestic and international securities laws (e.g., 1940 Act, etc.).
• FINRA Series 7/63/65 or Compliance Officer exam preferred.
• Excellent communication and teamwork skills to collaborate with peers and business partners.

The salary range for this position in Downers Grove, Illinois is $70,000 - $85,000/year. The total compensation offered for this position includes salary and incentive pay and will vary based on skills, experience and location.

Full time

Employee

Yes

Pursuant to Invesco's Workplace Policy, employees are expected to comply with the firm's most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office. This reflects our belief that spending time together in the office helps us build stronger relationships, collaborate more easily, and support each other's growth and development.

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.