Assistant Manager overseeing Compliance operations for Southeast Asia - based FinTech company. Engaging in regulatory alignment and policy implementation across several locations.
About the role
- Senior Compliance Officer on Invesco's Fixed Income team ensuring regulatory compliance and managing pre-trade oversight. Delivering compliance outcomes aligned with investment strategies and mentoring junior staff.
Responsibilities
- Provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders.
- Own contract interpretation and rule governance for client IMAs and regulatory investment restrictions, ensuring accuracy and control integrity.
- Partner with Product, Legal, and Investments teams to support new product launches by reviewing and embedding robust compliance controls.
- Act as a senior compliance partner to Fixed Income, leveraging analytics to deliver timely, consistent compliance outcomes aligned with business and regulatory requirements.
- Collaborate with portfolio management to evaluate new investment strategies, ensuring compliance through Aladdin system capabilities.
- Lead cross-functional projects, managing workstreams, resolving issues, and communicating updates to senior stakeholders.
- Mentor junior compliance officers, providing technical guidance and fostering strong risk awareness and professional judgment.
- Drive continuous improvement initiatives to enhance control effectiveness, data quality, and compliance monitoring processes.
Requirements
- Bachelor’s degree in finance, accounting, or a related field.
- Minimum 5 years of experience in financial services, preferably in asset management.
- Strong knowledge of investments, securities law (e.g., 1940 Act, UCITS, 81-102), and investment management industry practices.
- Experience with trading/compliance systems such as Aladdin and Charles River preferred.
- Excellent analytical, organizational, and problem-solving skills with strong attention to detail.
- Effective communication and interpersonal skills, able to work independently and collaboratively under pressure.
- FINRA Series 7 license and/or advanced professional certifications preferred.
- Proven ability to manage competing priorities and deliver high-quality results in a fast-paced environment.
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
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