Senior Compliance Officer-Trading and UIT Operations
Invesco - Houston, TX

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Invesco is seeking an experienced Senior Compliance Officer for a position in its broker/dealer Compliance Department. The position will act as a day to day Compliance support for Unit Investment Trust (“UIT”) and non-UIT trading and operations. The position will also be responsible for implementing the Compliance Department’s general compliance program for assigned business units. The position requires strong communication skills and must establish and maintain relationships within assigned business units. The position requires an advanced understanding of trading activities, operations and processing activities & requirements, 1940 Act investment products and accounting (financial books and records, net capital, customer reserve) rules and regulations. This position will report to a Senior Compliance Manager that reports to the Chief Compliance Officer.
      Primary Duties/Responsibilities:

      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, FINRA, and MSRB rules and regulations, primarily in the areas of trading and operations. §

      Working directly with trading and operations business unit partners, including senior levels of management, to understand their processes and business practices. §

      Liaising with product development on new offerings and ideas to provide up to date analysis and advice on rules and regulations. §

      Monitoring and overseeing fixed income and equity regulatory reporting requirements including OATS, TRACE, and RTRS. §

      Providing advice on general trading rules and regulations and advising on real time trading issues. §

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

      Reviews, manages and responds to examiners during the onsite regulatory examination process, acting as an intermediary between the business unit and the regulators, and drafts responses to regulatory inquiries and examinations. §

      Enhancing the trade reporting and operations compliance program including quality assurance and testing §

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

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

      Collaborate on inter-departmental projects with business unit partners.

      Qualifications

      Primary Duties/ Responsibilities:

      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, FINRA, and MSRB rules and regulations, primarily in the areas of trading and operations. §

      Working directly with trading and operations business unit partners, including senior levels of management, to understand their processes and business practices. §

      Liaising with product development on new offerings and ideas to provide up to date analysis and advice on rules and regulations. §

      Monitoring and overseeing fixed income and equity regulatory reporting requirements including OATS, TRACE, and RTRS. §

      Providing advice on general trading rules and regulations and advising on real time trading issues. §

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

      Reviews, manages and responds to examiners during the onsite regulatory examination process, acting as an intermediary between the business unit and the regulators, and drafts responses to regulatory inquiries and examinations. §

      Enhancing the trade reporting and operations compliance program including quality assurance and testing §

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

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

      Collaborate on inter-departmental projects with business unit partners.

      Formal Education :

      Bachelor's degree required.

      SECURITIES LICENSES :

      Series 7, 24 and 63/66 required

      Ability to obtain the Series 53 within 90 days

      Work Experience :

      Five to ten years of fixed income and equity trading and operations experience. Experience in operations, trading, or compliance at a clearing firm or large self-clearing broker/dealer preferred.

      Knowledge/ Abilities : §

      Experienced with Charles River Development systems §

      Ability to rapidly learn the UIT industry. §

      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. §

      Proficiency in Excel, MS Word, Outlook. §

      Advanced knowledge of markets.

      Working Conditions: §

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

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