Regional Investment Compliance Lead

Invesco; Houston (TX); Hybrid; USD 90,000 - 140,000; Full time

Benefits offered by this job

Flexible PTO

Hybrid work

401(k) matching

Health benefits

Parental leave

Employee stock purchase plan

Job summary

Invesco seeks a Regional Investment Compliance Officer to monitor regional investment compliance, collaborating with Americas teams and global colleagues to ensure adherence to regulatory requirements across asset classes.

You will validate pre-trade and post-trade monitoring outputs, provide clear analysis, and assist with rule testing, audits, and process improvements while coordinating with investment and trading teams.

Qualifications

• 2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function.
• 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.

Responsibilities

• Validate pre-trade alerts in order management systems, providing effective second line challenge, with timely documentation of analysis and outcomes.
• Oversee and validate post-trade batch monitoring output, including root cause analysis and documentation of compliance exceptions.
• Work with global Investment Compliance teams to support investment restriction workflows and effective handoffs.
• 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.
• Respond to queries from investment, trading, and other stakeholders in a timely manner.
• Collaborate with regional and global teams to apply investment compliance standards consistently.
• Support communication across region/time zones including Americas market coverage.
• Identify opportunities to improve processes, data quality, or monitoring efficiency.
• Support ad hoc compliance projects, regulatory changes, and audit activities.

Skills

Investment compliance

Attention to detail

Analytical skills

English communication

Tools

Aladdin

CRIMS (CRD)

Charles River

Bloomberg

Job description

Invesco seeks a Regional Investment Compliance Officer to monitor regional investment compliance, collaborating with Americas teams and global colleagues to ensure adherence to regulatory requirements across asset classes.

You will validate pre-trade and post-trade monitoring outputs, provide clear analysis, and assist with rule testing, audits, and process improvements while coordinating with investment and trading teams.