Invesco · 4 days ago
Sr. Compliance Officer
Houston, TX
Full-time
Hybrid
Mid, Senior Level
$110K/yr - $125K/yr
4+ years expInvesco is one of the world’s leading independent global investment firms dedicated to rethinking possibilities for clients. They are seeking a Senior Compliance Officer who will ensure compliance with regulatory and internal investment restrictions, while leading initiatives within the Investment Compliance team.
FinanceFinancial ServicesVenture Capital
Responsibilities
Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel
Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions
Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors
Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures
Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels
Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions
Identify potential gaps in monitoring processes and propose practical process improvement solutions
Present complex information clearly and professionally through written materials or presentations to diverse audiences
Qualification
Required
Bachelor's degree in a related field such as accounting, finance, or a similar discipline
Minimum of 4 years of relevant work experience in financial services, preferably within asset management
Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge
Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102)
Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions
Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities
Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach
Preferred
Prior experience with trading/compliance systems such as Aladdin or Charles River
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
Company
Invesco
Invesco is an independent global investment management firm dedicated to delivering an investment experience that helps people get more out of life.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Kelvin Liu
Partner & Senior Portfolio Manager
Recent News
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2026-01-03
2025-12-18
2025-10-28
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