Compliance Analyst

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!

Job Description

Key Responsibilities / Duties:

• Address day to day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology related or manual controls created and applied during this process.
• Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Regional Compliance, Portfolio Manager, etc.) to ensure rectification.
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements.
• Maintaining the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position.
• Assist in resolving queries from regional compliance team and Front Office on compliance matters.
• Assist with ongoing review of relevant processes and procedures to ensure best practice.
• Perform daily manual tasks that are monitored outside of OMS. Perform list updates on OMS.
• Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• Assist in Compliance related projects and responsibilities. Perform daily check on funds that are overdrawn, compare cash reports received from Reconciliation team with CRD reports and notifying relevant teams to clear the overdraft.
• Effectively find solutions to compliance issues as they arise.
  
  

Working Timings:

Timing would be primarily aligned to EMEA Region i.e. 12:30 PM to 9:30 PM IST & shift might go up to 10:30 pm IST as per business requirement from time to time. Also, day light saving would influence the timings.

Work Experience / Knowledge:

0-2 years required including relevant work experience from asset management industry preferably with an investment advisor or mutual fund group in Compliance or regulatory environment.

Strong knowledge of and experience with Equity/Fixed Income/ETF Products required, including UCITS Funds, Institutional Products and 40 Act Funds. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.

Experience with regulatory environments such as SEC, ERISA, CSSF and FCA is required.

Skills / Other Personal Attributes Required:

• Good written and verbal communication skills
• Good interpersonal and strong analytical skills
• Strong attention to detail
• Shall be a good team player
• Shall be open to work flexible hours
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg, LZ Sentinel or Aladdin
  
  

Formal Education: (minimum requirement to perform job duties)

• CFA or FRM
• B. Com / M. Com / MBA /CA / Degree in Commerce/Finance
  
  

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

No

Workplace Model

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office.

Why Invesco

In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally.

We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).

What’s in it for you?

As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world.

Our benefit policy includes but not limited to:

• Competitive Compensation
• Flexible, Hybrid Work
• 30 days’ Annual Leave + Public Holidays
• Life Insurance
• Retirement Planning
• Group Personal Accident Insurance
• Medical Insurance for Employee and Family
• Annual Health Check-up
• 26 weeks Maternity Leave
• Paternal Leave
• Adoption Leave
• Near site Childcare Facility
• Employee Assistance Program
• Study Support
• Employee Stock Purchase Plan
• ESG Commitments and Goals
• Business Resource Groups
• Career Development Programs
• Mentoring Programs
• Invesco Cares
• Dress for your Day
  
  

In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence.

To Know More About Us

About Invesco: https://www.invesco.com/corporate/en/home.html

About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html

About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html

About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html

Apply for the role @ Invesco Careers: https://careers.invesco.com/india/