Chief Compliance Officer-Atlantic Trust Private Wealth Management
Invesco - New York, NY

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Summary Description : Atlantic Trust Private Wealth Management (“ATPWM”) is a boutique advisory firm focused exclusively on serving a select group of wealthy individuals, families, foundations and endowments. We have a national footprint in the U.S., with teams of wealth management professionals in 11 major cities. ATPWM is a wholly-owned subsidiary of
      Invesco Ltd. (NYSE: IVZ) , one of the world's largest publicly-traded companies focused exclusively on investment management.

      This position will report to the U.S. Distribution Chief Compliance Officer.

      Primary Duties/Responsibilities:

      The ATPWM Chief Compliance Officer is responsible for identifying and managing industry regulatory compliance issues and how they impact Atlantic Trust’s National Trust group, the Registered Investment Adviser and the BSA/AML program. Develops and maintains internal compliance policies and procedures; works with regulatory agencies to resolve problems and implements new regulatory procedures.

      Must be knowledgeable of OCC and SEC rules and regulations and able to execute an annual plan that is in compliance with these rules and regulations. Work with clients, business lawyers, and supervise 2-3 compliance staff.



      The ideal candidate for this position will have 5-10 years of compliance experience in the following areas: §

      Implementing and enforcing a supervisory program to ensure compliance with SEC, OCC and BSA/AML rules and regulations §

      Establishing and maintaining written policies and procedures designed to ensure adherence with bank, BSA/AML and securities legislation and internal compliance policies §

      Responding to compliance related inquiries, questions and requests from business personnel §

      Liaising with and responding to examiners and drafting responses to regulatory inquiries and examinations §

      Developing and drafting compliance policies and procedures to keep pace with industry and regulatory changes §

      Delivering ongoing training and education to business personnel about compliance matters §

      Collaborating on inter-departmental projects with business unit partners.

      Formal Education :

      Bachelor's degree required.

      Work Experience :

      Five to ten years of Trust and RIA compliance, preferably working in a trust organization.

      Knowledge/ Abilities : §

      Knowledge of OCC and RIA regulation §

      Excellent verbal and written skills §

      Must be able to multi task different initiatives at once, take direction well, and strong follow through skills needed §

      Ability to work effectively in a team environment §

      Supervise staff of 2-3 individuals §

      Proficiency in Excel, MS Word, Outlook

      Working Conditions: §

      Normal office environment with little exposure to excessive noise, dust, or temperature. Occasional lifting of less than 10 pounds. Frequent sitting. Some travel required.

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      As one of the largest independent global investment managers, Invesco Ltd. is dedicated to helping investors worldwide achieve their...