Senior Compliance Officer (Collective Trust & Broker ...

As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. 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 you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Job DescriptionYour TeamThe Compliance Department is an integral part of Invesco's overall risk management structure. Compliance is responsible for assessing compliance risk, communicating requirements, independently assessing adherence and escalating issues of non-compliance. Compliance works with business management in identifying and prioritizing areas of risk.Your RoleUnder general supervision, the Sr. Compliance Officer works in conjunction with the Compliance Manager in monitoring rules and regulations and as needed, amendingdeveloping, and implementing policies and procedures that are necessary to ensure that Invesco's subsidiaries operate in accordance with the rules and regulations set forth by federal and state agencies, self-regulatory organizations, and internal policies. The position has three primary duties:Approximately 50% of the job- supporting Trust Company compliance oversight responsibilitiesApproximately 35% of the job support of Invesco's brokerdealer compliance programsApproximately 15% of the job- processing individual and corporate regulatory licensing requirementsYou Will Be Responsible For:Maintaining relationships with regulatory authoritiesMonitoring proposed, adopted, and amended rules and regulationsMaintaining the trust company internal testing program and providing reports of results on a quarterly and annual basisOversight and management of Texas Department of Banking exams and inquiriesManaging Internal Audit andor Compliance Monitoring & Testing inquiries of Trust Company businessAdvising business partners of regulatory and compliance requirements and responds to queries from internal clients, including the Trust Company and Invesco's brokerdealersAssisting in reviewing, investigating, escalating, and responding to any items identified on the annual compliance questionnairesPreparing and presenting documentation of the Trust Company compliance program for committee and Board of Director meetingsMaintaining and updating compliance policy and manual for the Trust CompanyQuarterly certification of risk events impacting the Trust Company product lineManagement of the risk assessment dashboard for the Trust CompanyHelping facilitate FINRA and NFA branch inspections administered by Distributor ComplianceAssisting in developing and implementing internal compliance training programsAssisting the Distributor Compliance team in establishing and documenting compliance related policies and procedures pertaining to membership and registration requirements, brokerdealer written supervisory procedures, and other compliance related policiesCreating, updating, and maintaining department databases, including maintenance and support of the Distributor Compliance dashboardParticipating in Compliance initiatives and projects as may be assignedThe Experience You Bring:Bachelor's degree plus 3 to 5 years' experience working in a bank, brokerdealer, mutual fund, or transfer agent environment preferredProficient working knowledge of banking rules, retirement regulation, collective trusts and private placementsAbility to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate proceduresMust show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlinesFINRA Series 7 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51 or 53)New York Salary Disclosure:The base salary for this role in New York City is up to $120,000. The total compensation offered for this position includes salary and incentive pay and will vary based on skills, and experience. For locations outside the state of New York, the salary will be commensurate accordingly the local market and will vary based on skills and knowledge.Full Time Part TimeFull timeWorker TypeEmployeeJob Exempt (Yes No)YesWorkplace ModelAt Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office. What's in it for you?Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including: Flexible paid time offHybrid work schedule401(K) matching of 100% up to the first 6% with a discretionary supplemental contributionHealth & wellbeing benefitsParental Leave benefitsEmployee stock purchase planThe 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 vesco's 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.

Created: 2025-03-07