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Job Description

Your Team
The Compliance Department is an integral part of Invesco’s overall risk management structure. Compliance is responsible for assessing compliance risk, communicating requirements, independently assessing adherence and escalating issues of non-compliance.  Compliance works with business management in identifying and prioritizing areas of risk.

Your Role

Under general supervision, the Sr. Compliance Officer works in conjunction with the Compliance Manager in monitoring rules and regulations and as needed, amending/developing, and implementing policies and procedures that are necessary to ensure that Invesco’s subsidiaries operate in accordance with the rules and regulations set forth by federal and state agencies, self‑regulatory organizations, and internal policies. 

The position has three primary duties:

• Approximately 50% of the job- supporting Trust Company compliance oversight responsibilities
• Approximately 35% of the job support of Invesco’s broker/dealer compliance programs
• Approximately 15% of the job- processing individual and corporate regulatory licensing requirements

You Will Be Responsible For:

• Maintaining relationships with regulatory authorities
• Monitoring proposed, adopted, and amended rules and regulations
• Maintaining the trust company internal testing program and providing reports of results on a quarterly and annual basis
• Oversight and management of Texas Department of Banking exams and inquiries
• Managing Internal Audit and/or Compliance Monitoring & Testing inquiries of Trust Company business
• Advising business partners of regulatory and compliance requirements and responds to queries from internal clients, including the Trust Company and Invesco’s broker/dealers
• Assisting in reviewing, investigating, escalating, and responding to any items identified on the annual compliance questionnaires
• Preparing and presenting documentation of the Trust Company compliance program for committee and Board of Director meetings
• Maintaining and updating compliance policy and manual for the Trust Company
• Quarterly certification of risk events impacting the Trust Company product line
• Management of the risk assessment dashboard for the Trust Company
• Helping facilitate FINRA and NFA branch inspections administered by Distributor Compliance
• Assisting in developing and implementing internal compliance training programs
• Assisting the Distributor Compliance team in establishing and documenting compliance related policies and procedures pertaining to membership and registration requirements, broker/dealer written supervisory procedures, and other compliance related policies
• Creating, updating, and maintaining department databases, including maintenance and support of the Distributor Compliance dashboard
• Participating in Compliance initiatives and projects as may be assigned

The Experience You Bring:

• Bachelor's degree plus 3 to 5 years’ experience working in a bank, broker/dealer, mutual fund, or transfer agent environment preferred
• Proficient working knowledge of banking rules, retirement regulation, collective trusts and private placements
• Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
• Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
• FINRA Series 7 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51 or 53)

New York Salary Disclosure:

The base salary for this role in New York City is up to $120,000.  The total compensation offered for this position includes salary and incentive pay and will vary based on skills, and experience.

For locations outside the state of New York, the salary will be commensurate accordingly the local market and