Sr. Compliance Officer

Invesco UK

New York, United States
Base: $110,000 - $125,000 usd annually; bonus/equi...
Hybrid
Investment compliance monitoring
Aladdin oms
Contract interpretation
The Senior Compliance Officer will provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders

Job Summary

  • The Senior Compliance Officer will provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders.
  • Responsibilities include owning contract interpretation and rule governance for client IMAs and regulatory investment restrictions, and partnering with Product, Legal, and Investments teams to support new product launches.
  • Invesco offers comprehensive compensation and benefit offerings including flexible paid time off, a hybrid work schedule, 401(K) matching, health & wellbeing benefits, parental leave, and an employee stock purchase plan.

Matching Summary

The Senior Compliance Officer will provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders.

Salary

Base: $110,000 - $125,000 USD annually; Bonus/Equity: Not specified; Benefits: Comprehensive compensation and benefit offerings

Skills & Requirements

Must-have

  • Investment compliance monitoring
  • Aladdin OMS
  • Contract interpretation
  • Rule governance
  • Fixed Income compliance partner
  • Cross-functional project leadership

Nice-to-have

  • Mentoring junior officers
  • Continuous improvement initiatives
  • Exposure across global footprint
  • Rethinking possibilities for clients

Key Requirements

  • Bachelor's degree in finance, accounting, or related field
  • Minimum 5 years financial services experience
  • Strong knowledge of investments and securities law
  • Experience with Aladdin and Charles River systems preferred
  • FINRA Series 7 license and/or advanced certifications preferred
  • Proven ability to manage competing priorities

Work Rights

Not specified

Tailored Resume

Cover Letter