Invesco · 14 hours ago
Investments Compliance Officer
Atlanta, GA
Full-time
Onsite
Mid Level
3+ years expInvesco is one of the world’s leading independent global investment firms, dedicated to rethinking possibilities for clients. The Investments Compliance Officer will be responsible for ensuring compliance with regulatory and operational restrictions, providing expertise to investment teams, and managing compliance risks effectively.
FinanceFinancial ServicesVenture Capital
Responsibilities
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
Qualification
Required
Bachelor's degree in a related field
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
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 who 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
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
Company
Invesco
Invesco Ltd.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Kelvin Liu
Partner & Senior Portfolio Manager
Recent News
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