Senior Compliance Analyst

About Invesco

As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.

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 

Job Description

Who we are

 

With over $2.5 trillion of assets under management, Invesco is one of the world’s leading global investment management firms, headquartered in Atlanta, GA. Spreading across 26 countries and with over 8400 dedicated employees, we are driven by trust and care. As one of the world’s leading asset managers, we are solely dedicated to delivering an investment experience that helps people get more out of life. If you're looking for challenging work, thoughtful colleagues, and a global employer with social values, explore your potential at Invesco.

 

Your Team

 

This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office.  This role would support EMEA Region, in accordance with relevant regulations (like: UCITS, FCA, COLL, etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement.  This role requires applicable IC related skills (experience in rule coding, rule testing, post trade monitoring and allied reporting) to be effective.

 

Your Role

• Independently address day-to-day compliance alerts/warnings in batch compliance related to trading strategies and the application of technology-based or manual controls.
• Perform daily reviews of portfolio transactions and monitor compliance investment restrictions applicable to holdings and transactions; investigate active and passive breaches and follow up with relevant teams to ensure timely resolution.
• Analyze complex compliance exceptions, document review rationale, and prepare supporting evidence to demonstrate that appropriate processes and controls meet applicable regulatory requirements.
• Maintain the Compliance Block facility, ensuring that relevant systems are updated to accurately reflect the current block position.
• Independently resolve queries and compliance issues from Regional Compliance and other stakeholders, applying sound judgement to identify effective solutions and escalating material or complex matters where required.
• Review relevant processes and procedures, identify control gaps or inefficiencies, and support practical process improvements and standardization.
• Perform daily manual monitoring activities outside the OMS and complete required compliance list updates in the OMS.
• Collaborate with Regional Compliance teams to assess, document, monitor, report, develop, coordinate, and implement compliance monitoring activities, ongoing testing, and related controls.
• Support compliance-related projects, system changes, account onboarding, user acceptance testing (UAT), and other related responsibilities.
• Perform daily monitoring of overdrawn funds by comparing cash reports received from the Reconciliation team with CRD reports and notify relevant teams for timely resolution. Perform quality checks and provide guidance to analysts and new team members as required.

Working Timings:

The standard working hours will primarily align with the EMEA region, from 12:30 PM to 9:30 PM IST. Based on business requirements, the shift may be extended to 10:30 PM IST. Additionally, Daylight Saving Time (DST) adjustments and other operational needs may necessitate changes in shift timings. Employees are expected to maintain flexibility and be prepared to work in any shift as required by business needs to ensure operational continuity.

 

The Experience You Bring

 

• Total work experience of 4-6 years required including relevant work experience from asset management industry preferably with an investment advisor or mutual fund group in Compliance or regulatory environment. The candidate should have demonstrated experience in independently handling investment compliance monitoring, complex breach analysis, rule coding or testing and stakeholder queries.

• 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 in complex investment guideline interpretation and automated compliance monitoring is preferred.

• Experience with regulatory environments such as SEC, ERISA, CSSF and FCA is required. Working knowledge of control documentation, operational risk management and audit support would be advantageous.

 

Academic requirements

 

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

Grow Your Career with Us

Build the skills and experiences that help you thrive in a constantly evolving business environment. Our AI-enabled learning platform provides personalized learning opportunities based on your role and interests, while development programs and leadership training help support continuous career growth.

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/