Job Description

As one of the worlds 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

The Department

This position sits within the Invesco Senior Secured Management, Inc. (ISSM) Compliance team with a focus on Investment Compliance. The Investment Compliance team provides Investment Compliance support and guidance primarily to various portfolio management teams, investment operations, and global trading teams.

Your Role

The Compliance Officer will be a member of the ISSM compliance team with a focus on senior loan investment compliance monitoring. This position will be responsible for controls used to support investment teams in real time through order management and other internal monitoring systems. The candidate will direct specific efforts to implement all aspects of the investment monitoring program, which includes investment restriction and guideline monitoring, managing private watch lists and restricted lists, and assisting with client reporting and various assignments. These responsibilities should be carried out within the framework of applicable global, state and federal regulations and self-regulatory agency requirements.

You will be responsible for:

* Conducting daily trade surveillance of senior loan trading desks in New York and London covering mutual funds, institutional and CLO products.
* Reviewing and resolving daily warnings and alerts for all senior loan trading activity.
* Monitoring, revising, and maintaining private watch list and restricted lists for portfolio and personal trade monitoring for private side businesses.
* Reviewing requests to participate in data rooms to access private information through vendor sites and coordinating with vendor to manage private side access and controls.
* Participating in cross-wall and expert network communications for private side businesses (banks loans and private equity).
* Maintaining cross-wall communications and expert network logs and reconciling logs and vendor usage reports.
* Addressing 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.
* Assisting with reviews of investment guidelines to maintain evergreen Compliance environment.
* Monitoring, maintaining, and enhancing required quantitative rules in the Everest trading and compliance platform.
* Preparing 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.
* Interacting 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.
* Completing special projects as assigned.

The experience you bring:

* Bachelor's degree in a relevant field of study is required.
* Minimum of 2- 5 years of experience within the investments industry.
* Knowledge of securities regulation, as it relates to operations within the advisory compliance (mutual funds or institutional) industry preferred.
* Experience working with 1940 Act Funds, Institutional Clients and Managed Accounts is preferred along with experience with senior loans.
* Familiarity with trading systems and their compliance component is preferred; experience with Bloomberg, WSO and/or Everest trading system is a plus.
* Proficiency in the Microsoft Office suite of applications is required.
* Superior judgement in assessing potential compliance alerts, and knowing when to escalate, seek advice or when to act independently
* Ability to condense, refine, simplify and communicate the purpose and significance of internal guidelines and external regulations.

Whats 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 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.