Sr. Compliance Officer
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Job Location:
New York City, NY - USA
Monthly Salary:
$ 110000 - 125000
Posted on:
7 hours 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 with considerable independence; ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies communicated and escalates issues that present risk. Leads initiatives that engage the Investment Compliance team be it intra-departmental or enterprise level.
Responsibilities of the Role:
Review compliance exceptions promptly within established timelines providing subject matter expertise and communicating critical information to investment and trading personnel.
Analyze compliance alerts using knowledge of investment guidelines regulations compliance systems and internal policies to deliver accurate and timely decisions.
Ensure decisions maintain high accuracy to prevent violations of client prospectus regulatory and internal guidelines as well as operational errors.
Coordinate communication resolution and documentation of compliance violations with internal parties following established procedures.
Assist fixed income investment and trading personnel with critical time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
Identify potential gaps in monitoring processes and propose practical process improvement solutions.
Present complex information clearly and professionally through written materials or presentations to diverse audiences.
Requirements for the Role:
Bachelors degree in a related field such as accounting finance or a similar discipline.
Minimum of 4 years of relevant work experience in financial services preferably within asset management.
Sound knowledge of investments investment management industry and in-depth investment/securities knowledge.
Familiarity with domestic and international securities laws (e.g. 1940 Act UCITS Framework 81-102).
Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
Strong analytical quantitative and problem-solving skills with the ability to make critical time-sensitive decisions.
Excellent interpersonal communication (written and oral) and organizational skills with the ability to manage competing priorities.
Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.
The salary range for this position in New York is $110000 - $125000 USD annually.
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:
Senior IC
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
