Senior Compliance Lead - Investment Management

Invesco; Houston (TX); Híbrido; USD 140 000 - 160 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Flexible PTO

Hybrid work schedule

401(k) matching

Health & wellbeing benefits

Parental Leave benefits

Employee stock purchase plan

Resumo da oferta

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

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Compliance testing

Regulatory knowledge

Data analytics

Communication with management

Formação académica

Bachelor's in Accounting/Finance/Business

Ferramentas

Charles River

Aladdin

Descrição da oferta de emprego

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