Situation Vacant – Regional Investment Compliance Director

Job Purpose (Job Summary):
Accountable for the leadership and oversight of the investment compliance program for accounts and funds in the region. This individual will lead and manage a regional team responsible for investment compliance lifecycle activities to help ensure we are in compliance with our regulatory and client mandated investment restrictions. This person will also be responsible for ensuring effective coordination across functions and borders as needed to ensure the investment compliance program is properly supported by others outside of their direct line of reporting.

Key Responsibilities/Duties:

  • Ensure that the investment compliance program is effectively monitoring for adherence to regulatory and client mandated investment restrictions
  • Provide useful and timely advice to our investment teams on questions regarding implementation and interpretation of investment restrictions
  • Manage day-to-day investment compliance activities
  • Work with product teams to assess the impact of new products
  • Participate in discussions regarding new instruments to assess impact
  • Facilitate and oversee delegation of responsibilities to other compliance teams
  • Uphold global policy and procedures and standards where appropriate
  • Escalate unresolved breaches and other issues to front-office management as needed
  • Collaborate with the global team to identify, develop and implement ideas for continuous improvement
  • Request and secure resourcing/support required from other functions, teams, regions or vendors
  • Liaise with, support, collaborate with and escalate to regional Chief Compliance Officer on important issues
  • Ensure all activities are in line with Invesco’s Conduct principles.

Work Experience/Knowledge:

  • Basic knowledge of rule coding and testing methodology
  • Local/regional regulatory subject matter expertise with regard to investment compliance
  • Prior experience with at least one compliance rules engine designed to monitor investment restrictions in an Order Management System (OMS) such as CRD, Bloomberg, Sentinel, or others.
  • Knowledge of financial services business processes
  • Excellent verbal and written skills, including ability to produce presentations to influence senior decision makers
  • Communicating clearly and effectively with investment teams
  • Excellent analytical and problem-solving skills
  • Ability to manage conflict well
  • Structured, disciplined approach to work, with attention to detail
  • Good inter-personal skills combined with willingness to listen
  • Disciplined time management skills
  • Maintenance of up-to-date knowledge in the appropriate technical areas
  • Extensive experience leading and managing teams
  • Significant experience in investment management and trading compliance

Skills / Other Personal Attributes Required:

  • Enjoy challenging and thought-provoking work and have a strong desire to learn and progress
  • Able to work in a global, multicultural environment
  • Able to influence and build relationships at all levels of staff
  • Must demonstrate a strong customer focused attitude and understand the fundamentals of customer service
  • Ability to multi-task and work on more than one initiative at a time
  • Flexible and able to meet changing requirements and priorities
  • Ability to react positively under pressure to meet tight deadlines
  • Able to prioritize and manage work for a team
  • Ability to analyze requirements and problems and to propose innovative but workable solutions

Formal Education: (minimum requirement to perform job duties)

A bachelor’s degree in Finance, Accounting, Computer Science, Management Information Systems preferred or corresponding relevant work experience

Click here to apply


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