Compliance Officer

Invesco; Louisville (KY); Hybrid; USD 95,000 - 125,000; Full time

Benefits offered by this job

Flexible PTO

Hybrid work schedule

401(K) matching

Health & wellbeing benefits

Parental Leave

Job summary

Invesco in Louisville, KY is seeking a Regional Investment Compliance Officer to monitor regional investment compliance, partner with investment and trading teams, and support the Americas framework. You will analyze client mandates and regulatory requirements, identify investment restrictions, and maintain robust audit trails across activities.

Work with global teams to ensure consistent application of investment compliance standards while driving process improvements and timely, clear

Qualifications

• 2–4 years of experience in investment compliance or similar control function.
• Experience with investment compliance monitoring is preferred.

Responsibilities

• Validate pre-trade alerts in order management systems with second line challenge.
• Oversee post-trade batch monitoring output and document exceptions.
• Support investment restriction workflows across global teams.
• Analyze client mandates, prospectuses, and regulations for investment restrictions.
• Participate in rule testing and validation activities.
• Maintain audit trails with documented analysis and outcomes.
• Respond to queries from investment and trading teams clearly and promptly.
• Collaborate with regional and global teams to apply compliance standards.

Skills

Investment compliance

Regulatory knowledge

Communication

Cross-functional collaboration

Tools

Aladdin

CRIMS (CRD)

Charles River

Bloomberg

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.

What’s in it for you?

• 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

Regional Investment Compliance Officer

About the Company

With over $2 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’re dedicated to rethinking possibilities for our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, explore your potential at Invesco.

About the Team

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and operational investment restrictions. This role sits within the Americas Investment Compliance team and focuses on implementing the investment compliance monitoring framework across the region. It works across a broad range of asset classes, including equity, fixed income, multi-asset, and index strategies. You will work directly with Americas investment and trading teams and collaborate closely with Investment Compliance colleagues across EMEA, APAC, and Hyderabad, as well as with global and local stakeholders including Client teams, Product, Legal, Onboarding, Data, Technology, and Compliance Advisory.

About the role/Key Responsibilities

The role is responsible for carrying out regional investment compliance monitoring activities, working closely with regional team members, offshore support teams, and key stakeholders. It supports accurate monitoring, timely issue identification, effective escalation, robust documentation, and ownership of outcomes, aligned with the global Investment Compliance operating model.

• Validate pre-trade alerts in order management systems, providing effective second line challenge, working directly with investment and trading teams, and collaborating with Investment Compliance team members and other stakeholders as needed to support investment activity in a timely manner, with clear documentation of analysis and outcomes where required
• Oversee and validate post-trade batch monitoring output, providing effective second line challenge, and collaborating with investment, trading, Investment Compliance team members, and other stakeholders as needed to assess whether alerts are valid, including root cause analysis and documentation of compliance exceptions where required
• Work with global Investment Compliance teams to support investment restriction workflows, including clarification of requirements, follow up on outstanding items, and effective handoffs across teams
• Analyze client mandates, prospectuses, and regulatory requirements to identify investment restrictions
• Participate in rule testing and validation activities, ensuring outputs align with defined requirements
• Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, including clear documentation of analysis, decisions, and outcomes
• Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
• Collaborate with regional and global teams to support consistent application of investment compliance standards and ways of working
• Support effective communication and coordination across the region and time zones, including in relation to Americas market coverage
• Identify opportunities to improve processes, data quality, or monitoring efficiency, and contribute to the implementation of agreed improvements
• Support ad hoc compliance projects, process improvement initiatives, regulatory changes, and audit activities as required

Position Qualifications

We recognize that strong candidates may not meet every qualification listed below. If your experience is relevant to the role and you can demonstrate the core capabilities required, we encourage you to apply.

• At least 2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function, ideally within asset management or another regulated financial services environment
• Experience with investment compliance monitoring is preferred
• Good working understanding of investment management processes, portfolio construction, and trading activity is highly desirable
• Experience working with investment or trading teams
• Good understanding of the asset management industry, regulatory environment, and investment products and strategies across the Americas region
• Knowledge of a broad range of investment products and strategies, including regulated retail funds, commingled trust products, ERISA, ETF’s and other index-tracking strategies, segregated mandates, and alternative investments
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including 40ACT is desirable
• Hands on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, Bloomberg, or equivalent platforms is beneficial

KEY COMPETENCIES AND PERSONAL ATTRIBUTES

We recognize that strong candidates may not demonstrate all the attributes listed below. If you bring the core strengths needed for the role and can show how you would add value, we encourage you to apply.

• Strong attention to detail and ability to follow structured processes accurately
• Sound analytical judgment, with the ability to assess information, reach balanced conclusions, and escalade appropriately where needed
• Clear written and verbal communication skills in English
• Ability to manage multiple tasks and prioritize effectively in a time-sensitive environment
• Proactive and collaborative approach, with willingness to learn and develop technical expertise
• Ability to operate effectively within a defined control framework, exercising judgment, escalade appropriately in complex or ambiguous situations, and maintaining clear documentation of analysis and outcomes
• Collaborative approach across global teams, working consistently as part of one team
• Ownership mindset, with accountability for seeing work through to completion and maintaining quality across handoffs, escalade appropriately where needed
• Able to build effective working relationships with investment, trading, and other stakeholders
• Interest in using AI tools to improve processes and create efficiencies

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.