Sr. Compliance Officer

1110 Invesco Group Services, INC.; Houston (TX); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Flexible PTO

Hybrid work

401(k) matching

Health & wellbeing benefits

Parental Leave

Employee stock purchase plan

Job summary

Invesco is seeking a Compliance Officer to monitor employee adherence to ethics and personal trading policies, supporting North America. The role involves education, monitoring, and investigations within a global ethics framework.

Ideal candidates will have a bachelor’s degree, strong analytical skills, and a passion for compliance in financial services. A hybrid approach and robust policy oversight are core to this position.

Qualifications

• Bachelor’s degree or equivalent is required.
• Strong analytical skills with the ability to make critical, time-sensitive decisions.
• Interest in compliance area and financial services markets.
• Strong digital acumen to leverage systems and emerging technologies to streamline processes.
• Excellent organizational skills and ability to manage competing priorities.

Responsibilities

• Provide education to North America employees on personal trading and related policies.
• Coordinate and support compliance-related projects with stakeholders.
• Monitor reports and ensure timely submission of acknowledgements and holdings reports.
• Review personal trading pre-clearance requests for policy compliance.
• Conduct post-trade monitoring to verify policy compliance.
• Investigate conduct violations and issue educational letters as required.
• Perform other tasks as needed.

Skills

Analytical thinking

Digital acumen

Customer service oriented

Time management

Education

Bachelor's degree or equivalent

Tools

Star Compliance

ServiceNow

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.

Benefits

• 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

About the Department/Team

The Global Ethics Office (GEO) mitigates conflicts of interest and ensures employee compliance with regional policies related to personal account dealing, outside business activities, gifts and entertainment, and political contributions.

About the Role

The Compliance Officer monitors employee compliance with the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies through Star Compliance, the Service Now Global Ethics Office Support Portal, and conversing with employees directly. This position will primarily support North American employees.

Responsibilities

• Provide education to Invesco North America employees by answering their questions and concerns around personal trading, outside business activities, political contributions, and gifts and entertainment.
• Coordinate and support small- to mid-sized projects, ensuring effective planning, stakeholder alignment, and timely delivery of compliance-related initiatives.
• Monitor employee completion of reports from time to time as required by policy, including submission of initial/annual acknowledgement forms, brokerage account listings, initial/annual holdings reports, and quarterly transaction reports.
• Review personal trading pre-clearance requests to determine if it should be approved or denied based on the personal trading policy using the Star Compliance Employee Conflicts of Interest system.
• Conduct post-trade monitoring of all personal securities transactions to verify compliance with the trading policy.
• Conduct investigations of conduct that violates the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies by any employee and issue letters of education as required.
• Perform other tasks as needed.

Requirements

• Bachelor’s degree or equivalent.
• Strong analytical skills with the ability to make critical, time-sensitive decisions.
• Interest in compliance area and financial services markets.
• Strong digital acumen with an ability to leverage systems and emerging technologies (including AI) to streamline processes, enhance monitoring, and drive continuous improvement in compliance operations.
• Excellent organizational skills and ability to manage competing priorities and deadlines.
• Customer service oriented with a consultative approach to collaborating with peers and business partners.

Employment Details

Full Time / Part Time: Full time
Worker Type: Employee
Job Exempt: 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.

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.

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.