Senior Compliance Officer

Position:
Sr. Compliance Officer

Company:
Invesco

Location:
United States, Atlanta, Georgia / Houston, Texas

Employment type:
Full time

Work Arrangement:
Hybrid work schedule

Short Summary:
The Senior Compliance Officer will be integral in implementing and maintaining a global regulatory reporting department, ensuring compliance with applicable rules and regulations, and supporting business operations globally.

Responsibilities:
- Lead the preparation of regulatory and compliance reports and ensure timely and correct filing.
- Collaborate with business partners to respond to regulatory inquiries.
- Document compliance procedures and modify as required.
- Prepare and submit accurate substantial shareholder disclosures by the due date.
- Address day-to-day compliance issues related to trading strategies and technology-related controls.
- Prepare documentation to support reviews and demonstrate adequate processes/controls for SEC/regulatory compliance.
- Interact with the global compliance team to assess, document, monitor, report, and implement compliance activities.
- Support the department’s strategic direction in alignment with the company’s mission.

Requirement:
- Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).
- Bachelor's degree in a relevant field of study is required.
- Compliance/legal or audit background with exposure to regulatory reporting in the Asset Management industry is a plus.
- Familiarity with SEC, FINRA, CFTC, NFA, FCA, PRA, and global disclosure of interests/substantial shareholding.
- Knowledge of Securities Act of 1933, 34, and Securities Exchange Act of 1940.
- Familiarity with trading systems and their compliance components such as Bloomberg or Charles River is a plus.
- Proficiency in Microsoft Office suite is required.

Benefits:
- Flexible paid time off
- 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