Investments Compliance Officer
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Job Location:
Houston, MS - USA
Monthly Salary:
Not Disclosed
Posted on:
16 days ago
Vacancies:
1 Vacancy
Job Summary
About Invesco
As one of the worlds leading independent global investment firms Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities we provide a wide range of investment strategies and vehicles to our clients around the world. If youre looking for challenging work intelligent colleagues and exposure across a global footprint come explore your potential at Invesco.
Whats in it for you
Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:
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
Job Description
About the Department/Team:
Investment Compliance is a global function responsible for ensuring compliance with regulatory prospectus client-directed and internal investment and operational restrictions. This position will be on the Americas investment compliance team primarily supporting Invesco Fixed Income.
About the Role:
The Compliance Officer utilizes technical and subject matter expertise experience and judgment to complete assigned responsibilities and ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies communicates and escalates issues that present risk.
Responsibilities of the Role:
- Review and resolve compliance exceptions promptly 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.
- Escalate critical issues to senior team members to prevent regulatory client or internal violations.
- Serve as a key contact for fixed income teams addressing time-sensitive compliance questions and requests.
- 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 of the Role:
- Bachelors degree in a related field 3 years of experience in the asset management industry and 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 customer service orientation applies consultative approach to interacting with peers and business partners.
- Team worker wo must be able to build working relationships and interact with a diverse group of internal contacts.
- Strong interpersonal skills effective written and oral communications.
- Excellent organizational skills ability to manage competing priorities and deadlines.
- Proven analytical skills and ability to make critical time sensitive decisions.
Full Time / Part Time
Full timeWorker Type
EmployeeJob Exempt (Yes / No)
YesWorkplace Model
Pursuant to Invescos Workplace Policy employees are expected to comply with the firms 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 others growth and development.
The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.
Invescos 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.
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Invesco is an independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. We have specialized investment teams managing investments across a comprehensive range of asset classes, investment styles and geographies, ... View more
