Compliance Manager

Invesco

New York City, New York, US
New york city: $140,000 - $160,000pyear; not speci...
Hybrid
Risk-based compliance testing
Market abuse surveillance
Electronic communications surveillance
The Compliance Monitoring function is responsible for executing activities across risk-based compliance testing, market abuse surveillance, data analytics, and electronic communications surveillance

Job Summary

  • The Compliance Monitoring function is responsible for executing activities across risk-based compliance testing, market abuse surveillance, data analytics, and electronic communications surveillance.
  • The Compliance Manager will design, scope, and execute risk-based compliance reviews, develop and perform detailed testing, and identify and articulate findings.
  • 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 Compliance Monitoring function is responsible for executing activities across risk-based compliance testing, market abuse surveillance, data analytics, and electronic communications surveillance.

Salary

New York City: $140,000 - $160,000/year; Not specified; Not specified

Skills & Requirements

Must-have

  • Risk-based compliance testing
  • Market abuse surveillance
  • Electronic communications surveillance
  • Federal securities laws and regulations
  • Investment Advisers Act
  • Investment Company Act of 1940

Nice-to-have

  • Intelligent colleagues
  • Global footprint
  • Continuous improvement
  • Strategic thinking
  • Results-oriented mindset

Key Requirements

  • Bachelor's degree in accounting, finance or related business fields
  • 6-8+ years of experience in Financial Services Industry
  • Experience with regulatory agency a plus
  • Working understanding of security types
  • Familiarity with trading systems

Work Rights

Not specified

Tailored Resume

Cover Letter