The Investment Compliance team is responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions
Job Summary
The Investment Compliance team is responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions.
Responsibilities include reviewing and resolving pre-trade compliance exceptions, investigating overnight alerts, and analyzing client investment restrictions.
Invesco offers comprehensive compensation and benefit offerings including flexible paid time off, a hybrid work schedule, and 401(K) matching.
Matching Summary
The Investment Compliance team is responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions.
Skills & Requirements
Must-have
Aladdin OMS
investment restrictions
regulatory compliance
securities laws
pre-trade compliance
Nice-to-have
consultative approach
proactive review
process improvements
Key Requirements
Bachelor's degree in finance, accounting, or related field
Minimum 3 years of experience
Knowledge of domestic and international securities laws