Overview

This is a strategic position under Global Investment Compliance Function at Invesco. Position requires an experienced and proficient professional in managerial role with responsibility for Equity Compliance Function. Responsible for working with Project team on Investment Restriction Compliance (IRC) to help shape future state design globally and implementing various activities within broader global structure. This position would be involved in business planning, staffing, training, employee engagement & key stakeholder management.

Key Responsibilities / Duties:

  • Manage process for multiple regions and countries within investment compliance function including both rule coding and overnight batch compliance related to trading strategies and the application of technology related controls created and applied during this process by Compliance function
  • Manage a team of significant size including people managers end to end including performance management, succession planning, providing regular feedback, coordination with diverse group of stakeholders, managing process updates/changes, staff development, team motivation, engagement and retention.Provide a highly responsive and professional level of support to cross functional business departments.
  • Interact with members of the project team and global compliance team to assess, document, monitor, report, develop, coordinate, and implement various improvements to compliance monitoring activities, ongoing testing and related controls.
  • Train, coach and mentor team members towards their development and long term career aspirations.
  • Interpretation and understanding of the provisions of applicable rules and requirements.
  • Providing advice and direction on both internal and external rules and practices and how the rules of the regulatory bodies affect the day to day operations of each department.
  • Providing assistance with the implementation of procedures and controls designed to ensure Invesco remains compliant with external regulatory standards set by the provisions of applicable rules and regulations.
  • Assisting in the provision of training to new joinees in the team on relevant tasks, application and regulations.
  • Assist in reviews of investment guidelines to maintain evergreen compliance environment; build, test, implement, monitor, maintain and enhance required quantitative rules in the production trading platform known as Charles River Development.
  • Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
  • Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes / controls to meet regulatory requirements and ensure compliance with all applicable policies and procedures.
  • Act as subject matter expert in resolving complex situations in day to day tasks and mentor other colleagues in team
  • Assist in Compliance related projects and responsibilities.
  • Assist the legal and compliance staff as requested.
  • Effectively find solutions to compliance issues as they arise.

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