Compliance Mgr-Monitoring

Invesco; Houston (TX); Hybrid; USD 140,000 - 160,000; Full time

Benefits offered by this job

Flexible PTO

Hybrid work schedule

401(k) matching

Health & wellbeing benefits

Parental Leave benefits

Employee stock purchase plan

Job summary

Invesco, a leading global investment firm, seeks an experienced compliance professional to lead risk-based reviews and monitor regulatory adherence. You will assess control design, document testing, and report findings to senior management and the Funds' Board.

Collaboration with data analytics and technology teams will support testing and surveillance activities. Ideal candidates have 5–7 years in financial services, strong SEC/FINRA knowledge, and familiarity with investment management

Qualifications

• Bachelor's degree in Accounting, Finance, Business Economics or related business field.
• 5–7 years of experience in financial services, preferably within compliance, audit, risk, or controls.
• Strong knowledge of SEC/FINRA rules and Adviser/Investment Company Acts.
• Experience evaluating risks, designing/testing controls, and monitoring activities.
• Comfort with data-driven testing and analytics for decision-making.
• Familiarity with Charles River and Aladdin is a plus.

Responsibilities

• Execute and independently lead risk-based compliance reviews per plan.
• Assess compliance risks and evaluate control design and effectiveness.
• Document testing procedures, workpapers, and results per standards.
• Prepare clear reports for senior management and the Funds' Board.
• Develop and track Management Action Plans addressing weaknesses.
• Conduct surveillance reviews and analyze ongoing monitoring activities.
• Collaborate with data analytics/technical teams on testing and tooling.
• Monitor regulatory developments and industry trends affecting the program.

Skills

Compliance testing

Regulatory knowledge

Data analytics

Communication with management

Education

Bachelor's in Accounting/Finance/Business

Tools

Charles River

Aladdin

Job description

About Invesco

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.

About Invesco

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.

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

Job Description

About the Role

You Will Be Responsible For:

• Execute and independently lead risk-based compliance reviews in accordance with the annual Compliance Monitoring Plan, including planning, scoping, stakeholder interviews, testing, reporting, and remediation validation.
• Assess compliance risks and evaluate the design and effectiveness of controls to determine adherence to policies, procedures, and applicable laws and regulations.
• Document testing procedures, workpapers, and results in accordance with Compliance Monitoring standards.
• Prepare clear and concise reports and presentations for senior management and the Funds' Board of Directors, summarizing testing objectives, methodology, results, observations, and conclusions.
• Partner with business and relevant stakeholders to develop, track, and validate Management Action Plans that address identified control weaknesses and compliance risks.
• Conduct surveillance reviews and perform analysis of ongoing monitoring activities, including the evaluation of market abuse and other compliance-related alerts.
• Partner with data analytics and technology resources to support compliance testing and surveillance activities through analytics, automation, monitoring methodologies, and technology-enabled solutions.
• Monitor regulatory developments and industry trends to identify emerging compliance risks and assess their potential impact on Invesco's businesses and Compliance Monitoring Program.

The Experience You Bring:

• Bachelor's degree in Accounting, Finance, Business Economics or related business field.
• Minimum 5-7 years of experience in the financial services industry, preferably within the compliance, audit, risk, or control functions of an investment management firm. Prior experience with a regulatory agency is a plus.
• Strong knowledge of federal securities laws and regulations, including SEC and FINRA requirements, as well as regulatory requirements applicable to registered investment advisers and registered investment companies, including the Investment Advisers Act and Investment Company Act of 1940.
• Experience evaluating compliance risks, assessing the design and effectiveness of controls, and executing risk-based monitoring and testing activities.
• Comfortable working with data and leveraging data-driven insights to support compliance testing, monitoring activities, and decision-making.
• Familiarity with investment management and trading platforms, including compliance monitoring capabilities within systems such as Charles River and/or Aladdin, is a plus.

The salary range for this position in New York City, New York is $140,000 - $160,000 year. The total compensation offered for this position includes salary and incentive pay and will vary based on skills, experience and location.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

Workplace Model

Pursuant to Invesco’s Workplace Policy, employees are expected to comply with the firm’s most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office. This reflects our belief that spending time together in the office helps us build stronger relationships, collaborate more easily, and support each other’s growth and development.

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.