Compliance Executive - EMEA Central Compliance

Invesco; Henley-on-Thames; Hybrid; GBP 40,000 - 80,000; Full time

Job summary

An established industry player seeks a Compliance Executive to join their EMEA Central Compliance team. This role offers a unique opportunity to support regulatory compliance efforts and drive continuous improvement within a dynamic environment. You will engage in a variety of activities, from onboarding regulated staff to maintaining oversight of regulatory submissions. With a focus on collaboration and innovation, this position allows you to make a significant impact while working alongside talented colleagues. If you're passionate about compliance and eager to contribute to a socially responsible organization, this role is perfect for you.

Benefits

Company-provided healthcare

Flexible working options

Generous pension provisions

Income protection

Health and wellness benefits

Volunteering days

Enhanced parental leave

Life insurance

Qualifications

• Experience in regulatory compliance and understanding of key business drivers.
• Strong communication and interpersonal skills are essential.

Responsibilities

• Support onboarding/offboarding of regulated staff and maintain oversight of regulatory submissions.
• Deliver training for new regulated staff and provide advisory support.

Skills

Regulatory Compliance

Communication Skills

Project Management

Problem Solving

Collaboration Skills

Time Management

Education

Relevant Qualifications in Regulations

Interest in Investment Management

Job description

Compliance Executive - EMEA Central Compliance

Compliance Executive - EMEA Central Compliance

Invesco Henley-on-Thames, United Kingdom

Compliance Executive - EMEA Central Compliance

Invesco Henley-on-Thames, United Kingdom Apply now Posted 17 days ago Permanent Competitive

Compliance Executive - EMEA Central Compliance

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 Description

We have an outstanding benefits package which includes:

• Company-provided healthcare
• A competitive annual leave allowance
• Flexible working options, including hybrid working arrangements
• Generous pension provisions
• Income protection
• Health and wellness benefits
• Volunteering days
• Enhanced parental leave
• Life insurance

Your role

We are looking for our next Compliance Executive supporting our EMEA Central Compliance team in our EMEA headquarter based in Henley-on-Thames !

You'll focus on providing support for the range of activities covered by the EMEA Central Compliance team.

The three key priorities of the team are to:

1) support firm wide and compliance priorities,

2) focus on regulatory compliance and address key risks, and

3) seek to innovate and drive continuous improvement.

Your Team
The EMEA Central Compliance team undertakes a variety of activities in supporting all functions across the firm alongside the local compliance teams in EMEA. Examples of activities in scope of this team include Advisory activities - Conflicts/Conduct/HR, supporting client related activities - operational due diligence, new business mandates, mandatory training planning and delivery, regulatory filings/reportings and associated oversight, management of regulated regimes (e.g. SMCR, T&C, K&C, CBI IAF), oversight of compliance owned policies for EMEA, supporting recordkeeping as required and ad-hoc support on general compliance topics.

You'll be responsible for:

• Onboarding/Offboardings of regulated staff (K&C/T&C/Certification)
• Reviewing / assessing regulatory updates to K&C, T&C, Certification regimes and support policy updates
• Running the annual regulatory cycle
• Working with third party vendor(s) / internal stakeholders to facilitate updates/changes to the respective systems as required.
• Maintaining oversight of regulatory submissions against relevant entities on the FCA connect/regdata systems
• Supporting completion of relevant regulatory submissions as required
• Maintaining accurate, updated procedures for areas responsible for and ensure appropriate recordkeeping (e.g. exceptions, issues, etc).
• Delivering training for new regulated staff and their managers as required
• Supporting the planning and delivery of other in-person/remote training delivered by the team
• Providing advisory support to local compliance teams as required
• Supporting other activities within the team as required

You'll need to have:

• Working knowledge and experience in own job family and broadens capabilities
• Experience in using prescribed guidelines or policies to analyse situations and solve a range of straightforward problems
• Having been accountable for own work and effective coordination of processes and information with others
• Working experience with guidelines and policies for ongoing work
• Understanding key business drivers and uses this to accomplish own work
• Working on assignments of moderate scope and complexity where some initiative and independent judgment is required to search out appropriate courses of action within the context of established policies and procedures
• Making decisions on routine matters where established policies, procedures and guidelines are available
• Leading projects and processes
• Explaining and simplifying complex information to others
• Excellent communication and interpersonal skills
• Strong collaboration skills
• Excellent time management and organisation skills
• Ability to work well under pressure
• Excellent task/project management skills
• Has relevant qualifications related to regulations / investment management industry or an interest to obtain these alongside maintaining up to date knowledge/understanding of respective regulatory topics impacting the firm.

Disability Confident Scheme

Applicants who opt in to the Disability Confident Scheme and meet the 'minimum criteria' for the role will be offered an interview. We are committed to providing an inclusive recruitment process for all candidates who make an application. By opting-in to this scheme, applicants will be disclosing that they have a disability solely for the purpose of the Disability Confident Scheme.

The Disability Confident Scheme only guarantees an interview - it does not automatically mean that applicants interviewed will gain employment with Invesco at that time.

To apply through the Disability Confident Scheme, you'll need to firstly ensure you have applied for the role via our external careers page. Following this, you'll need to email us at [e-mail] confirming your wish to opt-in, alongside your contact details and the title of the role you wish to apply for.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

Workplace Model

At 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.

If this sounds like you, we'd love to hear from you! We want all of our candidates to shine during the application and selection process, so if you need any adjustments to be made, please send an e-mail to [e-mail]. Please include your name, the job you are interested in, and the type of adjustment you need (for example; breaks during your interview, remote interviews, additional time for assessments or other required adjustments)

We promote a working environment that welcomes everyone and creates inclusive teams, celebrates difference and encourages everyone to be themselves at work.

Our commitment to the community and environmental, social and governance investing:
We partner with charitable organisations globally to make an impact in the communities where we live and work. Our people are encouraged to support the charities they feel most passionate about. We are also committed to environmental, social and governance (ESG) investing. We serve our clients in this space as a trusted partner both on specific responsible investment product strategies as well as part of our commitment to deliver a superior investment experience.

Recruitment Agencies:
Invesco has an in-house recruitment team, which focuses on sourcing great candidates directly. Invesco will not accept unsolicited resumes from agency or search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired. When we do use agencies, we have a PSL in place, so please do not contact hiring managers directly.

Regulatory:
This position may fall in-scope of one or multiple regimes/directives.

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