TL;DR

Compliance Officer (Fintech): Ensuring compliance with regulatory, prospectus, client-directed, and internal investment restrictions with an accent on prompt review and resolution of compliance exceptions, leveraging investment guidelines, regulations, systems, and data for accurate decision-making. Focus on contributing to strategic initiatives and implementing process improvements to enhance compliance operations and efficiency.

Location: Must spend at least four full days each week working in an Invesco office in Atlanta, Georgia; Houston, Texas; or Louisville, Kentucky.

Company

Invesco is a leading independent global investment firm dedicated to rethinking possibilities for clients by delivering distinctive investment management capabilities.

What you will do

  • Review and resolve compliance exceptions, providing subject matter expertise to investment and trading teams.
  • Analyze compliance alerts using knowledge of investment guidelines, regulations, systems, and data to support accurate decision-making.
  • Coordinate resolution and documentation of compliance violations across internal stakeholders.
  • Participate in testing new investment ideas and product launches to ensure regulatory compliance.
  • Identify and implement process improvements to enhance compliance operations and efficiency.
  • Represent compliance in cross-functional projects, staying informed of regulatory changes and contributing to strategic initiatives.

Requirements

  • Bachelor’s degree in a related field and 3+ years of experience in the asset management industry.
  • FINRA Series 6 or 7 preferred.
  • Knowledge of domestic and international securities law i.e. 1940 act, UCITS Framework, 81-102 and prior experience with trading/compliance systems such as Aladdin, Charles River preferred.
  • Strong interpersonal skills, effective written and oral communications, and excellent organizational skills.
  • Proven analytical skills and ability to make critical, time sensitive decisions.

Culture & Benefits

  • Flexible paid time off.
  • Hybrid work schedule.
  • 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution.
  • Health & wellbeing benefits.
  • Parental Leave benefits.
  • Employee stock purchase plan.