Sr. Compliance Officer

Invesco; Houston (TX); On-site; USD 90,000 - 150,000; Full time

Benefits offered by this job

Hybrid work schedule

401(K) matching

Health & wellbeing benefits

Parental Leave benefits

Employee stock purchase plan

Job summary

Invesco, a leading global investment firm, seeks a Senior Compliance Officer to lead regulatory reporting for the U.S. business and to support global shareholding disclosures.

You will ensure compliance with SEC, CFTC, FINRA rules and work with partners to document controls and respond to inquiries. The role requires a BS in a relevant field and asset management regulatory reporting experience; strong knowledge of securities regulation and MS Office is essential.

Qualifications

• Experience with regulatory environment (SEC, CFTC/NFA, FINRA).
• Knowledge of Securities Acts of 1933, 1934 and securities regulation principles.
• Familiarity with reporting requirements for substantial shareholders and global disclosures.

Responsibilities

• Lead preparation of regulatory and compliance reports ensuring timely filings.
• Collaborate with partners to respond to regulatory inquiries.
• Document compliance procedures and update as required.
• Prepare and submit accurate substantial shareholder disclosures by due date.
• Support ongoing regulatory monitoring and controls with global team.

Skills

Regulatory compliance

Securities regulation

Regulatory reporting

Microsoft Office

Regulatory inquiries

Education

Bachelor's degree in a relevant field

Tools

Bloomberg

Charles River

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

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

The Role

This position will be an integral part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd. The incumbent will support the corporate mission statements by assisting the U.S. business operations with respect to compliance and applicable state, federal and self-regulatory agency requirements, and assist business operations globally with respect to major shareholding regulatory reporting requirements. As a Senior Compliance Officer, you will be primarily responsible for ensuring that the company’s business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. You will provide support and advice across various departments and will support Compliance requirements related to the CFTC-registered Commodity Pool Operator, Commodity Trading Adviser, Form PF and global Substantial Shareholder reporting as required.

Responsibilities of the Role

• Lead the preparation of regulatory and compliance reports and ensure they are filed timely and correctly.
• Collaborate with business partners to respond to regulatory inquiries.
• Oversight to document compliance procedures and modify as required.
• Prepare and submit accurate substantial shareholder disclosures by the due date.
• Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.
• Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.
• Interact 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.
• Support the department’s strategic direction in alignment with the department and Company’s mission.

Requirements of the Role

• Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).
• Bachelor's degree in a relevant field of study is required.
• A compliance/legal or audit background with exposure to regulatory reporting in the Asset Management industry is a plus.
• Experience with SEC, FINRA, CFTC, NFA, FCA, PRA and familiarity with disclosure of interests/substantial shareholding globally.
• Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940.
• Familiarity with trading systems and their compliance component such as Bloomberg, or Charles River is a plus.
• Knowledge of securities regulation, as it relates to operations within the financial services industry preferred
• Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus.
• Proficiency in the Microsoft Office suite of applications is required.

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.