Job Description
About Invesco As one of the world's leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.
What's in it for you? Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:
- 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
Job Description About the 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 two primary duties:
- Support of Invesco's broker/dealer compliance program (wholesale and institutional distribution model)
- Supporting Trust Company compliance oversight responsibilities
About the Department 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.
Responsibilities of the Role: - Maintaining relationships with regulatory authorities
- Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations, etc.)
- Advising business partners within Invesco's broker/dealers of regulatory and compliance requirements and responding to queries from internal clients
- Facilitating FINRA and NFA branch inspection program administered by Distributor Compliance
- Support of the firm's electronic communication surveillance program including reviewing, investigating, escalating, and responding to items identified as part of the firm's program
- Engaging with distribution teams for training and updates to policies and procedures
- Assisting in developing and implementing internal compliance training programs
- Maintain and distribute quarterly management reports
- Assisting with review and maintenance of the Written Supervisory Procedures
- Creating, updating, and maintaining department databases, including maintenance and support of the Distributor Compliance Program
- Assisting with the Trust Company's internal testing program and regulatory examinations (Texas Department of Banking)
- Participating in Compliance initiatives and projects as may be assigned
Requirements of the Role: - Bachelor's degree plus 3 to 5 years' experience working in a broker/dealer, mutual fund, trust company or transfer agent environment preferred
- Proficient working knowledge of broker/dealer FINRA, SEC, and MSRB rules, 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)
Full Time / Part Time Full time
Worker Type Employee
Job Exempt (Yes / No) Yes
Workplace Model Pursuant to Invesco's Workplace Policy, employees are expected to comply with the firm's most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office. This reflects our belief that spending time together in the office helps us build stronger relationships, collaborate more easily, and support each other's growth and development.
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.
Job Tags
Full time, Part time, Work at office, Flexible hours,