Associate Compliance Manager
Invesco
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Benefits offered by this job
Job summary
Invesco is a leading global investment firm seeking an experienced Regulatory Reporting professional. The role sits within Global Regulatory Reporting (GRR), a sub-function of Global Compliance, and focuses on monitoring, documenting, and filing regulatory disclosures across multiple regions.
The candidate will lead a team, drive process improvements, and ensure adherence to evolving global regulatory standards.
Qualifications
- Knowledge of financial products and mutual fund industry.
- Knowledge of regulatory requirements.
- Understanding of regulatory changes and new reporting requirements.
- Good analytical and attention to detail.
- Excellent interpersonal and cross-time-zone collaboration skills.
- People management experience including mentoring and workload management.
- Proficiency in MS Office.
- Strong written and verbal communication skills.
- Open to flexible working hours.
Responsibilities
- Monitor and review daily, weekly, monthly, and quarterly reports.
- Prepare documentation to support reviews and demonstrate compliant processes.
- Analyze data and prepare documentation for substantial shareholding reporting.
- Understand regulatory requirements across Americas and meet compliance metrics.
- Review substantial shareholding documents for global reporting.
- Handle new countries' substantial shareholding and reporting independently as required.
- Stay updated on regulatory changes and disclosure forms across countries.
- Coordinate with global compliance and legal teams on monitoring activities.
- Provide leadership, coaching, workload planning and development support to the team.
- Engage in cross-functional initiatives to drive continuous improvement.
- Resolve queries from regional/global compliance teams and other departments.
Skills
Education
Tools
Job description
As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.
With over $2.1 trillion of assets under management, Invesco is one of the world’s leading global investment management firms, headquartered in Atlanta, GA. Spreading across 26 countries and with over 8400 dedicated employees, we are driven by trust and care. As one of the world’s leading asset managers, we are solely dedicated to delivering an investment experience that helps people get more out of life. If you're looking for challenging work, thoughtful colleagues, and a global employer with social values, explore your potential at Invesco.
Global Regulatory Reporting (GRR) team is a sub function of Global Compliance team. GRR team will monitor prepare and file regulatory reports/disclosures for specific areas, perform analytical and monitoring activities and conduct other applicable projects/assignments as required.
- Monitoring/reviewing of daily, weekly, monthly, and quarterly reports.
- Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet regulatory requirements and ensure compliance with all policies and procedures.
- Analyze the data and prepare documentation to support substantial shareholding reporting to meet global regulatory requirements.
- Understanding regulatory requirements in America’s regions and act steps to meet all the compliance performance metrics.
- Review the substantial shareholdings documents being prepared to meet the Global regulatory reporting requirements.
- Be able to handle new countries’ substantial shareholding, monitoring and reporting independently as required based on the updated regulations.
- Stay current of all regulatory changes related to reporting thresholds, reporting deadlines, updated/new disclosure forms to be used occurring in various countries across USA and ensure update procedures and applications to reflect the changes accordingly.
- Interact with members of the global compliance and legal teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
- Support, mentor, coach and guide the team, including day-to-day people management, workload prioritization, performance support, feedback, development planning and capability building.
- Able to take appropriate decisions to handle the business.
- Participate in compliance related projects and responsibilities.
- Identify and review requests from external parties and determine appropriate responses for such requests, this includes requirements from various departments and business units too.
- Assist in resolving queries with regional/global compliance teams.
- Work with global functional counterparts to ensure consistency of service delivery.
- Monitor new processes/functions and changes to existing processes and procedures.
- Handle responsibility for ensuring consistent day-to-day production is achieved by the team through effective resource planning, task allocation, coaching and follow-up.
- Provide people leadership by fostering an inclusive, collaborative and high-performing team environment, supporting onboarding, knowledge sharing, talent development and succession readiness.
- Engage in cross-functional initiatives, as required, to promote Continuous Improvement initiatives.
- Proactively seek and research solutions to compliance issues related to data issues, filling gaps in collating required details for monitoring and reporting as they arise.
- Respond to basic, intermediary, and advanced/complex questions/queries from other teams independently and report to senior managers for escalation.
- Total relevant work experience of 10-15 years required with investment advisor or mutual fund group in Compliance or regulatory environment.
- Knowledge of Financial products and Mutual fund industry
- Knowledge of regulatory requirements
- Understanding of regulatory changes and new reporting requirements
- Good analytical skills and attention to detail
- Excellent interpersonal skills to work effectively with a network of colleagues spread across different time zones.
- People management experience, including team leadership, mentoring, coaching, performance enablement, workload management and development of team members.
- Proficiency in MS Office
- Strong written and verbal communication skills
- A positive attitude and willingness to learn.
- Open to flexible working hours
- Familiarity with trading systems and compliance components such as Charles River, Bloomberg would be given preference.
- Bachelors or Master's (preferred) degree in Commerce / Finance
Full time
Employee
Yes
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.
In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally.
We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).
As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world.
Our benefit policy includes but not limited to:
- Competitive Compensation
- Flexible, Hybrid Work
- 30 days’ Annual Leave + Public Holidays
- Life Insurance
- Retirement Planning
- Group Personal Accident Insurance
- Medical Insurance for Employee and Family
- Annual Health Check-up
- 26 weeks Maternity Leave
- Paternal Leave
- Adoption Leave
- Near site Childcare Facility
- Employee Assistance Program
- Study Support
- Employee Stock Purchase Plan
- ESG Commitments and Goals
- Business Resource Groups
- Career Development Programs
- Mentoring Programs
- Invesco Cares
- Dress for your Day
In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence.
About Invesco: https://www.invesco.com/corporate/en/home.html
About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html
About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html
About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html
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