Situation Vacant – Regional Investment Compliance Assistant Analyst
Invesco is driven by a pure focus on investment. It’s all we do. We focus on doing work that matters and being a firm that gives a voice to every employee. In fact, we make a promise to our clients and each other to create greater possibilities together. We’re looking for people who have fresh perspectives. Who can come together to share ideas, listen and challenge each other to achieve better solutions for our clients.
The Compliance function is broadly responsible for identifying, assessing, advising, monitoring and reporting on the firm’s compliance risks. The Investment Compliance team supports the regional Compliance and business/functional teams and has the following key responsibilities:
- Investment Compliance-related oversight of each Invesco fund and client account contracted in their region.
- Supervision of the adherence by the Investment Teams in their region to investment restrictions at various points in the pre- and post-trade lifecycle.
- Perform contract analysis to establish investment restrictions from source documents for the region.
- Review and approve the coding and testing of rules in the Order Management Systems (OMS).
- Validation of pre-trade violations for local investment teams
- Oversight of the post-trade monitoring performed by the Hyderabad Investment Compliance Team for mandates contracted in the region.
- Supporting local country Heads of Compliance on regulatory topics / engagement
- Investment Restriction breach reporting to external parties/Management committees / Boards as appropriate
- Regulatory Compliance training for Investment teams
- Participating in regulatory change initiatives / projects / working groups
We are looking for a new Regional Investment Compliance Assistant Analyst based in our EMEA headquarter in Henley-on-Thames. In this role you will support the Regional Compliance teams to ensure accounts follow their ESG regulatory and contractual restrictions.
Sound interesting? Some further details:
- Supporting the Investment Compliance ESG working group in establishing management information requirements to enable trend analysis, using this to seek opportunities to increase efficiency, reduce risk and continuously improve our control environment.
- Working closely with the Investment Compliance ESG Lead to document ESG processes and controls, strategic priorities and work together to identify scalable solutions going forward. Collaborate with ESG, Product, Investment and Tech teams to support the IC ESG Lead.
- Assisting the Regional Investment Compliance Teams with tasks associated with Investment Compliance ESG monitoring.
- Bringing up potential issues optimally within the Investment Compliance team.
- Maintaining work log for Investment Compliance ESG Team open items. This includes reading emails / meeting minutes to document required actions and assisting the team to ensure they are delivered.
- Representing IC ESG Team on cross functional calls. Taking and sharing minutes from relevant meetings chaired by the Team.
Work Experience Requirements:
- Note experience does not have to be in the financial industry:
- Being part of a team to prioritise and deliver on ambitious timelines
- Used data to analyse trends and identify areas to increase efficiency
- Working in a role where attention to detail has been critical
- Proven experience of learning new systems
- Excel skills including V-Look up and basic macros
Other skills required:
- Highly organised and remaining calm under pressure
- Excellent verbal and written communication skills
- Delivery focused and results driven
- Appetite for challenge
- Curiosity about financial markets or services
The good stuff
We have an outstanding benefits package, which includes:
- Competitive salary and bonus
- Company-provided healthcare
- 26 days’ annual leave + bank holidays
- Generous pension provisions
- Income protection
- Health and wellness benefits
- Volunteering days
- Enhanced parental leave
- Life insurance
For more details and to apply click here
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