Situation Vacant – Regional Investment Compliance Analyst – UK

As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world.

If you’re looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day!

What we are looking for:

We are looking for our next Regional Investment Compliance Analyst – UK based in our EMEA headquarter in Henley-on-Thames. In this role you will ensure mandates are in compliance with their regulatory and contractual restrictions.

Among others, you’ll could be responsible for:

  • Working with the front office to resolve pre-trade violations in Charles River. The mandates traded are across a wide scope of asset classes including equity, fixed income or multi-asset with regulations spanning the requirements of global regulators.
  • Investigating and validating overnight breaches as raised by offshore (Hyderabad) teams using Charles River.
  • As part of the UK Investment Compliance team ensure breaches are logged and classified accurately, where required reported to third parties and appropriate escalation is followed through.
  • Contract analysis of client IMA and regulatory investment restrictions, covering both new mandates and changes to existing. Collating information for coding requests to offshore teams from this analysis. Rule sign-off for coding requests completed by offshore team.
  • Managing the UK Investment Compliance Inbox to ensure that all tasks and queries are completed according to relevant deadlines. This will include appropriate delegation across the UK Investment Compliance Analysts working in Charles River as the need arises.
  • Representing UK Investment Compliance on cross functional meetings.

You’ll need to have:

  • Experience of pre-trade and overnight guideline monitoring. Strong preference for Charles River.
  • Knowing how to interpret investment restrictions from prospectuses and client investment management agreements.
  • Understanding how to work with offshore teams effectively. Providing appropriate oversight and guidance as needed.
  • Ability to code is not a requirement but desirable. Role requires ability to understand and approve rule coding for Charles River investment compliance restrictions.
  • Sensibility when breaches need to be raised and implementing a robust control framework to reduce risk of repeating errors.
  • Solid understanding of asset management industry.
  • Understanding of regulatory frameworks (e.g. UCITs and NURS)
  • Highly organised
  • Excellent verbal and written communication skills
  • Keen eye for detail
  • Ability to build positive relationships across the organisation including with front office teams
  • Work effectively with the Global Investment Compliance teams. This includes EMEA, US, APAC and India
  • Remain calm and operate effectively under pressure
  • Self-motivated and take a pro-active approach to problem solving and able to understand the bigger picture
  • Seek continuous improvement

For more details and to apply click here 


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