Compliance Manager

Invesco

New York City, NY, US
Base: $140,000 - $160,000pyear (nyc); bonus/equity...
Hybrid
6-8 years financial services experience
Knowledge of sec and finra regulations
Experience with investment advisers act
The Compliance Manager will design and execute risk-based compliance reviews aligned with the annual test plan to identify control gaps

Job Summary

  • The Compliance Manager will design and execute risk-based compliance reviews aligned with the annual test plan to identify control gaps.
  • Employees benefit from a hybrid work schedule, 401(K) matching up to 6%, and comprehensive health and wellbeing benefits.
  • The role requires collaborating with business partners to draft remediation plans and tracking the closure of identified issues.

Matching Summary

The Compliance Manager will design and execute risk-based compliance reviews aligned with the annual test plan to identify control gaps.

Salary

Base: $140,000 - $160,000/year (NYC); Bonus/Equity: Incentive pay included; Benefits: Flexible PTO, 401(K) match, stock purchase plan

Skills & Requirements

Must-have

  • 6-8 years financial services experience
  • Knowledge of SEC and FINRA regulations
  • Experience with Investment Advisers Act
  • Risk-based compliance testing execution
  • Market abuse surveillance skills

Nice-to-have

  • Previous regulatory agency experience
  • Familiarity with Charles River trading systems
  • Strong negotiation and influence abilities
  • Data analytics automation proficiency
  • Strategic thinking in risk assessment

Key Requirements

  • Bachelor's degree in accounting or finance
  • 6-8+ years in Investment Management compliance
  • Broad knowledge of federal securities laws
  • Understanding of equities, fixed income, and derivatives

Work Rights

Not specified

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