Compliance Lead

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.

Job Description

Job Purpose (Job Summary):  

This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office.  This role would also provide support as required to EMEA, US, CA and APAC IC teams, in accordance with relevant regulations (like: 1940 Act, UCITS, FCA, COLL, ESMA guidelines, SFC Rules, etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement.  This role requires applicable IC related skills (experience in rule coding, post trade monitoring and allied reporting) to be effective.

Key Responsibilities / Duties:

• Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system

• Regular Rule maintenance on trading application i.e. Charles River Development (CRD)

• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system

• Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process

• Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification

• Assist in resolving queries with regional compliance teams

• Assist with ongoing review of relevant processes and procedures to ensure best practice

• Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership

• Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.

• Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.

• Act as subject matter expert in resolving complex situations in day-to-day tasks and mentor other colleagues in team

• Assist in Compliance-related projects and initiatives.

• Effectively find solutions to compliance issues as they arise.

Working Timings:

• Timing would be primarily aligned to Americas Region i.e. 5:30pm to 2:30am IST, however this subject is subject to change based on business requirement from time to time. Also, daylight saving would have an effect on the timings.

Work Experience /Knowledge: 

• Total work experience of 3 - 5 years required including 2- 3 years of relevant work experience of rule coding with an investment advisor or mutual fund group in Compliance or regulatory environment.

• Strong knowledge of and experience with Equity/Fixed Income/ETF Products required, including UCITS Funds, Institutional Products and 40 Act Funds. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

• Experience with regulatory environments such as SEC, 1940 Act, NI 81-102 is required.

Skills / Other Personal Attributes Required:

• ·      Good written and verbal communication skills

  ·         Good interpersonal and strong analytical skills

  ·     Strong attention to detail

  ·  Shall be a good team player

  · Shall be open to work flexible hours

• • Proficiency on MS Office suite of applications

  • Familiarity with trading systems and compliance components such as Charles River, Bloomberg AIM, LZ Sentinel or Aladdin

Formal Education: (minimum requirement to perform job duties)

• B. Com / M. Com / MBA /CA / Degree in Commerce/Finance

Disclaimer:The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification.  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. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time.

Full Time / Part Time

Worker Type

Job Exempt (Yes / No)

Workplace Model

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office. 

Why Invesco

In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally. 

We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).  

What’s in it for you? 

As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world. 

Our benefit policy includes but not limited to: 

• Competitive Compensation 
• Flexible, Hybrid Work 
• 30 days’ Annual Leave + Public Holidays 
• Life Insurance 
• Retirement Planning 
• Group Personal Accident Insurance 
• Medical Insurance for Employee and Family 
• Annual Health Check-up 
• 26 weeks Maternity Leave 
• Paternal Leave 
• Adoption Leave 
• Near site Childcare Facility 
• Employee Assistance Program 
• Study Support 
• Employee Stock Purchase Plan 
• ESG Commitments and Goals 
• Business Resource Groups 
• Career Development Programs 
• Mentoring Programs 
• Invesco Cares 
• Dress for your Day 

In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence. 

To know more about us 

About Invesco: https://www.invesco.com/corporate/en/home.html 

About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html 

About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html 

About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html 

Apply for the role @ Invesco Careers: https://careers.invesco.com/india/