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Invesco · 17 hours ago

Compliance Officer

Atlanta, GA

Full-time

Onsite

Entry, Mid Level

$70K/yr - $90K/yr

2+ years exp

Invesco is one of the world’s leading independent global investment firms, dedicated to rethinking possibilities for their clients. The Compliance Officer will support Invesco’s Registered Investment Advisers and Americas Compliance team, ensuring adherence to regulatory standards while managing day-to-day compliance functions.

FinanceFinancial ServicesVenture Capital

Responsibilities

Daily Compliance reviews of trading activity, and working directly with portfolio management and trading teams to resolve exceptions noted during reviews of portfolio activities

Set up and test compliance rules and restrictions, and review and verify the accuracy of client account setups

Read and understand operating manuals, contracts, state statutes, and client documents distilling them down to actionable information and requirements that can be implemented as account restrictions

Maintain pertinent compliance logs (employees, errors, complaints) and records and assist in preparing regular compliance reports

Assist in the development, implementation, and maintenance of comprehensive compliance program controls and tools including compliance manual, policies, and procedures

Assist with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems

Keep abreast of changing regulatory requirements news and observations with a focus on how they affect our business

Implements and supports the department’s strategic direction, vision & mission in alignment with the Company’s strategy

Qualification

ComplianceFinancial Services ExperienceRegulatory KnowledgeAnalytical SkillsMS OfficePythonSQLExcel VBASalesforceSnowflakeEzeServiceNowProcess ImprovementProblem Solving

Required

2 to 4 years Financial Services Industry Experience preferably with at least 1 year of Compliance, Audit or Risk Management experience in the investment advisor or mutual fund industry

Basic understanding of the general regulatory environment for asset managers

Excellent organizational and analytical skills, with the ability to prioritize and meet deadlines to effectively manage self and deliver on agreed upon objectives

Experience developing and improving processes

Experience reading and interpreting complex technical documents to accurately extract information is required

Strong MS Office skills and the proven ability to quickly learn new systems is required

Strong desire to learn, take on new assignments, and share knowledge

Process and detail oriented with the ability to identify risks and opportunities, demonstrating a strong appreciation for complexity and nuance

Effective analytical, forward thinking, problem solving, and decision-making skills