Sr. Compliance Officer

Job Purpose (Job Summary):

• The focus of this position will be to participate as a team member to direct specific efforts to implement all aspects of Advisory Compliance within the applicable order management systems primarily for fixed income products. 
• The candidate will do this by assisting with respect to compliance with applicable global, state, federal and self-regulatory agency requirements. 
• This includes building, testing, and enhancing controls and procedures, and investment transactions in various compliance systems. 
• This position will have challenges that will yield opportunities to be responsible for all aspects of advisory compliance for the products which include retail, institutional, wrap, and proprietary products with a variety of strategies. 
• Interaction on a daily basis will be required with Investments, Sales, Product Development, and Operations personnel of; policies, procedures and controls to support investment operations in real time and through ongoing projects.

  Key Responsibilities/Duties:

• Specific functional coordination responsibility for implementing all aspects of Compliance for a specific product line of asset management products to the Bloomberg, Charles River, Aladdin and other order management systems.
• 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.
• Lead and conduct reviews of Investment guidelines to maintain evergreen Compliance environment; build, test, implement, monitor, and maintain and enhance required quantitative rules in the production trading platform Bloomberg and Charles River.
• Lead and conduct forensic, periodic, and transactional testing to ensure compliance with all applicable state, federal and self-regulatory agency requirements to ensure compliance of the Asset Management Business Groups.
• 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.
• Present complex information in a professional and easy to understand manner through written materials or presentations for a wide variety audiences.
• Assist in responding to regulatory, sub-advisory client, wrap client, and institutional client inquiries.
• Serve as a liaison between the business and Compliance during the initial on boarding process of the specific product line and provide real time advice to the front office during and after the implementation.
• Ongoing review of new and existing products and participate in new product launches to ensure regulatory compliance and appropriate development of strategy within all required regulatory requirements.
• Interface with clients as part of the Compliance team during due diligence meetings which includes face to face and remote meetings to explain the compliance aspects of our business with relation to the client accounts.
• Familiar with client reporting, such as certifications, preparing monthly, quarterly or ad hoc client requests, etc.

 RequirementsWork Experience/Knowledge:

• Minimum of 5 years of experience within the investments industry required, fixed income preferred;
• Knowledge of securities regulation, as it relates to operations within the advisory compliance (mutual funds or institutional) industry preferred;
• Working knowledge of back office operations, financial services industry and securities laws/regulations are a plus.
• Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA). 

  Skills/Other Personal Attributes Required:

• The incumbent for this position must possess strong prioritization, problem solving, oral and written communication skills and the ability to interact well with all levels of employees. 
• Attention to detail; must be a self-starter with the ability to work independently and in a group setting.
• Strong quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
• Ability to condense, refine, simplify and communicate the purpose and significance of internal and external regulations.
• Experience working with ‘40ACT Funds, Institutional Clients and Managed Accounts preferred;
• Compliance experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 preferred.
• Familiarity with trading systems and their compliance component such as Charles River, Bloomberg, Aladdin, or similar order management/compliance rules based systems.
• Proficiency of the Microsoft Office suite of applications required;

  Formal Education: (minimum requirement to perform job duties)

Bachelors degree in a relevant field of study required

License/Registration/Certification (minimum requirement to perform job duties) 
 

• FINRA Series 65 attained within 180 days of employment required; 
• FINRA Series 7 preferred.
• Advanced professional education preferred;
• Certification in a related field of practice is a plus.

job description for office manager
Country: USA, State: New York, City: New York, Company: Invesco.