SMA Compliance Manager

Invesco; Seattle (WA); Hybrid; USD 120,000 - 135,000; Full time

Benefits offered by this job

Flexible PTO

Hybrid work schedule

401(K) matching up to 6%

Health benefits

Parental Leave

Employee stock purchase plan

Job summary

Invesco in Seattle is seeking a Compliance Manager to support the Americas Compliance team and oversee the SMA unit. You will gain hands-on experience across regulatory standards, helping scale processes and enhance our compliance oversight model.

The role requires ten or more years in financial services with direct compliance experience at an investment adviser, including fixed income and trading desks; familiarity with Investortool Perform and SQL-based reporting is a plus.

Qualifications

• Ten or more years in Financial Services Industry with direct compliance experience at an investment adviser.
• Experience leading projects with multiple stakeholders.
• Knowledge of SMA structures and wealth management platforms.

Responsibilities

• Act as Fixed Income Trading Compliance Lead building rules and reporting in Investortool’s Perform OMS.
• Own and improve workflows and monitoring including pre/post-trade compliance processes.
• Represent compliance in SMA team initiatives and raise risks with proposals.
• Review client agreements, IPS documents, and regulatory rules to ensure compliance.
• Liaise between business leaders and Compliance, presenting complex information clearly.

Skills

Fixed Income Compliance

Regulatory Knowledge

Project Leadership

Communication Skills

SQL Basics

Tools

Investortool Perform

Reporting Tools

SQL

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

Your Role

As our new Compliance Manager, you’ll play a key role in supporting one of Invesco’s Registered Investment Advisers, and Invesco’s Americas Compliance team. You’ll gain hands‑on experience through a broad range of compliance activities, helping to ensure that we meet the highest regulatory standards.

The responsibility of this Compliance Manager position is to support the compliance program of the growing Invesco Managed Accounts line of business. The position will have the opportunity to work with other specialized compliance groups across Invesco globally and cross‑functionally with various business partners. We’re seeking a detail‑oriented creative thinker to help us scale processes, solve problems, and continue to enhance our compliance oversight model.

Responsibilities of the Role

• Act as Fixed Income Trading Compliance Lead responsible for building rules and reporting within InvestorTool’s Perform OMS and acting as a resource for the trade desk.
• Own and improve workflows and monitoring process including pre and post-trade compliance processes, identifying potential gaps and where improvements for risk management or scalability are needed.
• Represent compliance in SMA team initiatives. Identify risks/changes/scalability issues being seen in portfolio monitoring and proactively raise with ideas or solutions.
• Review and interpret client agreement, IPS documents, state statutes, foreign registration rules, and platform manuals.
• Serve as a liaison between the leaders of the business and Compliance departments to resolve any new or outstanding concerns. Present complex information in a professional and easy to understand manner through written materials or presentations for a wide variety of audiences.
• Ongoing review of new and existing products and participation in new product launches to ensure proper deployment of regulatory and monitoring requirements are captured and appropriate development of strategy within all required regulatory requirements.
• Lead and participate in projects requiring interaction with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• May Lead functional teams or projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems where significant initiative and independent judgement is required

Requirements of the Role

• Ten or more years of Financial Services Industry Experience, preferably with at least five years of direct Compliance experience at an investment advisor including experience working with Fixed Income and trade desks.
• Experience working on and leading projects with a broad group of stakeholders.
• Direct experience with SMA structures, portfolio guidelines, and wealth management platforms
• Knowledge of the Advisers Act of 1940, fiduciary standards, and custodian requirements
• Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry.
• Familiarity with trading/compliance systems (e.g., Investortool’s Perform)
• Demonstrated ability to understand a wide range of regulatory requirements and implement appropriate procedures to comply therewith.
• Works on complex assignments where significant initiative and independent judgement is required to decide on the appropriate course of action within the context of established goals and objectives
• Interprets internal/external business challenges and recommends best practices to improve products, processes or services
• Knowledge of coding or SQL syntax and experience with report building tools a plus, aptitude for exploring and gaining skills in new systems/technologies a must.

The salary range for this position in Seattle, Washington is $120,000 - $135,000 Base/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.