Associate Compliance Manager

• Monitoring/reviewing of daily, weekly, monthly, and quarterly reports.
• Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet regulatory requirements and ensure compliance with all policies and procedures.
• Analyze the data and prepare documentation to support substantial shareholding reporting to meet global regulatory requirements.
• Understanding regulatory requirements in America's regions and act steps to meet all the compliance performance metrics.
• Review the substantial shareholdings documents being prepared to meet the Global regulatory reporting requirements.
• Be able to handle new countries' substantial shareholding, monitoring and reporting independently as required based on the updated regulations.
• Stay current of all regulatory changes related to reporting thresholds, reporting deadlines, updated/new disclosure forms to be used occurring in various countries across USA and ensure update procedures and applications to reflect the changes accordingly.
• Interact with members of the global compliance and legal teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• Support, mentor, coach and guide the team, including day-to-day people management, workload prioritization, performance support, feedback, development planning and capability building.
• Able to take appropriate decisions to handle the business.
• Participate in compliance related projects and responsibilities.
• Identify and review requests from external parties and determine appropriate responses for such requests, this includes requirements from various departments and business units too.
• Assist in resolving queries with regional/global compliance teams.
• Work with global functional counterparts to ensure consistency of service delivery.
• Monitor new processes/functions and changes to existing processes and procedures.
• Handle responsibility for ensuring consistent day-to-day production is achieved by the team through effective resource planning, task allocation, coaching and follow-up.
• Provide people leadership by fostering an inclusive, collaborative and high-performing team environment, supporting onboarding, knowledge sharing, talent development and succession readiness.
• Engage in cross-functional initiatives, as required, to promote Continuous Improvement initiatives.
• Proactively seek and research solutions to compliance issues related to data issues, filling gaps in collating required details for monitoring and reporting as they arise.
• Respond to basic, intermediary, and advanced/complex questions/queries from other teams independently and report to senior managers for escalation.
• Total relevant work experience of 10-15 years required with investment advisor or mutual fund group in Compliance or regulatory environment.

• Knowledge of Financial products and Mutual fund industry
• Knowledge of regulatory requirements
• Understanding of regulatory changes and new reporting requirements
• Good analytical skills and attention to detail
• Excellent interpersonal skills to work effectively with a network of colleagues spread across different time zones.
• People management experience, including team leadership, mentoring, coaching, performance enablement, workload management and development of team members.
• Proficiency in MS Office
• Strong written and verbal communication skills
• A positive attitude and willingness to learn.
• Open to flexible working hours
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg would be given preference.

• Bachelors or Master\'s (preferred) degree in Commerce / Finance

Full time

Employee

Yes

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 four days a week, with one day working outside an Invesco office.