Deputy Chief Compliance Officer

Company: 1110 Invesco Group Services, INC.
Location: Downers Grove
Posted on: May 20, 2023

Job Description:

Deputy Chief Compliance Officer page is loaded Deputy Chief Compliance Officer Apply locations Downers Grove, Illinois time type Full time posted on Posted 3 Days Ago job requisition id R-1801 As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Job Description Your RoleThe Deputy CCO will work with Invesco's ETF business with respect to compliance with applicable state, federal and self-regulatory agency requirements. The role includes oversight of a team of Compliance Professionals responsible for the day-to-day implementation and administration of the investment compliance program. The qualified candidate will have experience with exchange traded funds and will have the opportunity to support a variety of other account types including Institutional accounts, UCITS funds, ERISA, Collective Trust and SMA Accounts.This position involves advising partners in Investment Management, Trading and other functional areas on relevant aspects of the overall compliance program and ensuring that the organization's activities satisfy pertinent legal & regulatory requirements. The position will also work with legal staff to resolve compliance issues, review and update compliance policies & procedures periodically and as they pertain to regulatory developments & rulemaking and advise business partners on policy, procedure and other ad hoc issues.You will be responsible for:

• Managing a team of compliance professionals, providing guidance, training and motivation as necessary to develop staff. Setting performance standards, reviewing performance and providing feedback.
• Serving as a daily resource to the business and advisory compliance team, interpreting guidelines and regulations. Providing guidance and advice to investment compliance team regarding violations to ensure timely resolution.
• Implementing and supporting the Compliance department strategic direction, vision & mission in alignment with overall business strategy. Visibly supporting business initiatives and the initiatives of other departments.
• Project Management - participating in projects requiring interaction 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.
• Assisting in the development, implementation, and maintenance of comprehensive compliance program controls and tools including the Compliance Calendar and responsibility for specific compliance policies and procedures.
• Assisting with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems.
• Keeping abreast of changing regulatory requirements. Assisting in researching relevant topics and providing materials & responses to inquiries and exams by regulators and exchanges; participating in or managing responses to internal reviews/exams.
• Creating a positive team environment, empowering team to collaborate and problem solve.
• Ensuring appropriate oversight takes place for all work completed by the advisory compliance team. The experience you bring:
  • 10+ years financial services industry experience with at least 5 years of direct advisory compliance experience in the investment management or ETF/mutual fund industry.
  • Bachelor's degree required; advanced professional education is preferred.
  • Certification in a related field of practice is a plus.
  • FINRA Series 7, 63, and 65 preferred.
  • Experience working with 1940 Act Funds (specifically ETFs), UCITS, institutional clients and commodity pools preferred.
  • Broad knowledge of federal securities laws and regulations.
  • The ability to interact with senior management and investment professionals.
  • Ability to coordinate issues, findings and practices with colleagues across regions and/or divisions including other compliance managers.
  • Knowledge of Charles River Development or BlackRock Aladdin order management systems is preferred.
  • Demonstrated ability to understand wide range of regulatory requirements applicable to investment advisers and ETFs and to develop and implement appropriate procedures to comply therewith.
  • Ability to understand complex regulations and communicate them to staff. Should possess strong written and oral communication skills and be able to interact well with all levels of employees.
  • Effective analytical, project management, problem solving, and decision-making skills.
  • Strong organizational skills and ability to work in a fast-paced environment.
  • Strong collaboration skills required. Work Model (In Office / Hybrid / Remote) Full Time / Part Time Full time Worker Type Employee Job Exempt (Yes / No) Yes What's in it for you? Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:
    • Flexible time off and opportunities for a flexible work schedule
    • 401(K) matching of 100% up to the first 6% with additional supplemental contribution
    • Health & wellbeing benefits -
    • Parental Leave benefits
    • Employee stock purchase plan The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time. Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment. Similar Jobs (1) Senior Compliance Manager locations 3 Locations time type Full time posted on Posted 7 Days Ago About Us As one of the world's leading asset managers, we are solely dedicated to delivering an investment experience that helps people get more out of life. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, explore your potential at Invesco.

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