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.

About the Department/ Team:
Compliance Monitoring is a core function within Invescos Americas Compliance organization. The function is responsible for executing activities across four distinct areas: risk-based compliance testing market abuse surveillance data analytics and electronic communications surveillance.

About the Role:
The Compliance Manager as a key contributor within the Compliance Monitoring function supporting the execution of the firms risk-based compliance testing and surveillance activities across the Americas. The Testing Team operates independently from business and advisory compliance functions and is responsible for identifying control gaps evaluating the effectiveness of existing controls and escalating issues and emerging risks to management. Compliance Monitoring also plays a key role in supporting continuous improvement of the firms compliance program through enhanced testing methodologies surveillance coverage and data-driven insights.

Responsibilities of the Role:

• Design scope and execute riskbased compliance reviews aligned with the annual test plan identifying relevant regulations key risks and controls.
• Develop and perform detailed testing to assess control design and operating effectiveness and evaluate compliance with policies and regulatory requirements.
• Engage with business and support teams through interviews walkthroughs and process reviews to understand activities risks and controls.
• Document all testing procedures evidence and conclusions clearly and comprehensively.
• Identify and articulate findingsincluding control gaps deficiencies and risk exposuresand prepare clear reports for stakeholders and management.
• Collaborate with business partners to draft remediation plans support timely corrective actions and track closure of issues.
• Conduct market abuse surveillance reviewing alerts related to insider trading window dressing portfolio pumping and other misconduct indicators.
• Partner with data analytics teams to leverage automation and analytical tools to enhance testing coverage and insights while monitoring regulatory developments and emerging risks.

Requirements of the Role:

• Bachelors degree in accounting finance or related business fields
• 6-8years of experience in Financial Services Industry in an Investment Management firms compliance auditing or risk function preferred previous experience with regulatory agency a plus
• Broad knowledge of federal securities laws and regulations (SEC FINRA ERISA) including requirements under the Investment Advisers Act and Investment Company Act of 1940.
• Working understanding of a wide range of security types including equities fixed income and derivatives.
• Familiarity with trading systems and related compliance components (e.g. Charles River).
• Strong verbal and written communication skills with proven negotiation and influence abilities.
• Excellent interpersonal skills with the ability to work effectively across all levels and a strong results-oriented mindset.
• Demonstrated ability to identify analyze and thoroughly investigate potential issues and determine appropriate actions.
• Ability to learn quickly apply strategic thinking and understand the broader impact of issues and associated risks.
• Selfstarter with strong motivation and proficiency in Microsoft Office applications.

Full Time / Part Time

Worker Type

Job Exempt (Yes / No)

Workplace 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.