Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
About the role
- Compliance Officer role at Invesco, enhancing compliance oversight and supporting regulatory standards. Engaging with teams on compliance-related activities to manage trading and client account setups.
Responsibilities
- Daily Compliance reviews of trading activity, and working directly with portfolio management and trading teams to resolve exceptions noted during reviews of portfolio activities.
- Set up and test compliance rules and restrictions, and review and verify the accuracy of client account setups.
- Read and understand operating manuals, contracts, state statutes, and client documents distilling them down to actionable information and requirements that can be implemented as account restrictions.
- Maintain pertinent compliance logs (employees, errors, complaints) and records and assist in preparing regular compliance reports.
- Assist in the development, implementation, and maintenance of comprehensive compliance program controls and tools including compliance manual, policies, and procedures.
- Assist with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems.
- Keep abreast of changing regulatory requirements news and observations with a focus on how they affect our business.
- Implements and supports the department’s strategic direction, vision & mission in alignment with the Company’s strategy.
Requirements
- 2 to 4 years Financial Services Industry Experience preferably with at least 1 year of Compliance, Audit or Risk Management experience in the investment advisor or mutual fund industry.
- Basic understanding of the general regulatory environment for asset managers.
- Excellent organizational and analytical skills, with the ability to prioritize and meet deadlines to effectively manage self and deliver on agreed upon objectives.
- Experience developing and improving processes
- Experience reading and interpreting complex technical documents to accurately extract information is required.
- Strong MS Office skills and the proven ability to quickly learn new systems is required.
- Proficiency in Python, SQL and/or Excel VBA, or report building/data visualization tools is a plus.
- Strong desire to learn, take on new assignments, and share knowledge.
- Process and detail oriented with the ability to identify risks and opportunities, demonstrating a strong appreciation for complexity and nuance.
- Effective analytical, forward thinking, problem solving, and decision-making skills.
- Experience in working with Salesforce, Snowflake, Perform, Eze, or ServiceNow a plus
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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