Compliance Manager, Private Markets

Invesco US; Houston (TX); Hybrid; USD 100,000 - 140,000; Full time

Job summary

An established industry player is seeking a Compliance Manager for Private Markets to provide critical compliance support and ensure adherence to regulatory requirements. This role involves reviewing marketing materials, developing compliance policies, and providing specialized training to business partners. Join a dynamic team that values compliance excellence and offers a hybrid work environment, where you can thrive in a fast-paced setting while making a meaningful impact on the organization. This is a fantastic opportunity to leverage your expertise in investment management and compliance while contributing to a culture of inclusivity and growth.

Benefits

Flexible Paid Time Off

Hybrid Work Schedule

401(K) Matching

Health & Wellbeing Benefits

Parental Leave Benefits

Employee Stock Purchase Plan

Qualifications

• 10+ years in investment management with compliance emphasis.
• Experience with SEC and FINRA marketing requirements.
• Strong knowledge of investment regulations and compliance.

Responsibilities

• Support compliance for Private Markets and Alternative Investments.
• Review communications for regulatory compliance.
• Lead initiatives for compliance training and policy development.

Skills

Regulatory Compliance

Investment Management Knowledge

Communication Skills

Problem Solving

Project Management

Education

Bachelor's Degree

Post-Secondary Education

Tools

SEC Regulations

FINRA Regulations

Investment Company Act of 1940

Investment Advisers Act of 1940

Job description

Join to apply for the Compliance Manager, Private Markets role at Invesco US

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Join to apply for the Compliance Manager, Private Markets role at Invesco US

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

Your Role:

In this role you will provide compliance support to Private Markets, Alternative Investments, Global and Cross Border business areas requiring unique and complex support. In addition, you will support key high profile global business initiatives and projects and be responsible for proactive compliance with all applicable regulatory requirements regarding the compliance review of advertising and marketing materials for both the Retail and Institutional business. This includes executing the compliance review of communications and supporting assigned projects. You will also be required to monitor rules and regulations and as needed, amending/developing and implementing policies and procedures as directed that are necessary to ensure that Invesco’s subsidiaries operate in accordance with the sales material/communications compliance rules and regulations set forth by regional regulatory agencies.

What you would be responsible for:

• Provide support for Global Private Markets, Alternatives & cross border activities that are not exclusive to one region and cross one or more regions.
• Review communications for Private Markets & Alternatives business units to ensure compliance with FINRA and SEC regulatory requirements.
• Provide unique and complex support and training on regulatory requirements.
• Evaluate, research and identify regulatory requirements for new and complex products; set up unique processes and procedures for the products as needed.
• Provide highly specialized training to business partners on these complex products.
• Work on and solve complex assignments requiring significant initiatives and independent judgement to search out appropriate course of action within the context of established goals and objectives
• Field inquiries, independently evaluating situations, making decisions and solving problems. Escalate issues to management as needed.
• Advise business partners on additional compliance risk as it relates to material business and operational changes including new marketing initiatives.
• Provide team support for day-to-day communication material review and approvals and applicable regulatory filings based on requested/applicable deadlines. This includes but is not limited to internal and external communications such as our website, emails, social media, presentations, brochures, flyers and more complex communication materials.
• Lead and participate in working group committees and standing meetings.
• Help Implement and support the department’s strategic direction, vision & mission in alignment with the Company’s strategy.
  
  

Experience you bring:

• Bachelor’s degree or Post-Secondary education required.
• Minimum 10 years’ experience in the investment industry with investment management industry experience required.
• Must have extensive business knowledge of investment management business with sales and marketing emphasis to include a working knowledge of the industry laws and regulations applicable to communications compliance.
• Experience with SEC and FINRA marketing/advertising requirements and review of marketing materials
• Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Advertising Rule, and FINRA Advertising regulations
• Experience with private markets, private funds, registered products and alternative investments
• Experience with Real Estate, Private Credit or Direct Lending a plus.
• Knowledge of Cross Border product regulations is a plus
• Excellent presentation, communication, and interpersonal skills
• Ability to perform independent work related to complex situations.
• Displayed ability to interact with investment professionals and senior management.
• Displayed ability to anticipate internal or external business challenges and/or regulatory issues.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Thrives in a fast-paced environment with a continuous learning mindset
• Ability to work independently and within a geographically spread team environment, including flexibility with schedules across time zones.
• Ability to train colleagues and business partners on complex products and regulatory requirements as needed.
• Demonstrated strong communication skills
• Self-motivated with project management and process development skills
• Series 7 and 24 is required
  
  

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.

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 off
• Hybrid work schedule
• 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
  
  

The 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 time.

Invesco'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.

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Investment Management and Financial Services

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