IT Governance, Risk and Compliance Analyst managing compliance initiatives like NIST and ISO standards in technology and security operations.
About the role
- Senior Compliance Officer on Invesco's Fixed Income team ensuring regulatory compliance and managing pre-trade oversight. Delivering compliance outcomes aligned with investment strategies and mentoring junior staff.
Responsibilities
- Provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders.
- Own contract interpretation and rule governance for client IMAs and regulatory investment restrictions, ensuring accuracy and control integrity.
- Partner with Product, Legal, and Investments teams to support new product launches by reviewing and embedding robust compliance controls.
- Act as a senior compliance partner to Fixed Income, leveraging analytics to deliver timely, consistent compliance outcomes aligned with business and regulatory requirements.
- Collaborate with portfolio management to evaluate new investment strategies, ensuring compliance through Aladdin system capabilities.
- Lead cross-functional projects, managing workstreams, resolving issues, and communicating updates to senior stakeholders.
- Mentor junior compliance officers, providing technical guidance and fostering strong risk awareness and professional judgment.
- Drive continuous improvement initiatives to enhance control effectiveness, data quality, and compliance monitoring processes.
Requirements
- Bachelor’s degree in finance, accounting, or a related field.
- Minimum 5 years of experience in financial services, preferably in asset management.
- Strong knowledge of investments, securities law (e.g., 1940 Act, UCITS, 81-102), and investment management industry practices.
- Experience with trading/compliance systems such as Aladdin and Charles River preferred.
- Excellent analytical, organizational, and problem-solving skills with strong attention to detail.
- Effective communication and interpersonal skills, able to work independently and collaboratively under pressure.
- FINRA Series 7 license and/or advanced professional certifications preferred.
- Proven ability to manage competing priorities and deliver high-quality results in a fast-paced environment.
Benefits
- Flexible paid time off
- Hybrid work schedule
- 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Compliance Specialist overseeing regulatory adherence for youth programs in Gainesville. Ensuring DCF compliance and supporting youth program safety and integrity.
Technologist at FortisBC ensuring compliance with BCUC Critical Infrastructure Protection Standards. Focus on integrating business technology and providing technical support.
Compliance Examiner Business Lead at Freddie Mac conducting on - site examinations and ensuring financial activities align with laws. Engaging with financial institutions to enhance operational effectiveness.
Compliance Professional supporting Freddie Mac's investment and ethics policies. Engaging with compliance risks and overseeing regulatory obligations to promote best practices.
Compliance Officer at Hewlett Packard Enterprise ensuring adherence to compliance regulations, managing AML programs, and conducting risk assessments. Driving compliance culture across markets and delivering training to employees.
Risk Manager at Cisco Capital ensuring regulatory compliance and effective risk management practices. Focus on safeguarding financial health and collaboration within an international environment.
Regulatory Reporting Specialist managing outsourced reporting service providers in Germany and Spain. Ensuring compliance with banking regulations and supporting audits and reviews.
Assisting partners at Clyde & Co with business inception processes and anti - money laundering procedures. Involves reviewing requests and conducting conflict checks within the firm's compliance framework.
Senior Analyst, OSS Compliance managing open - source software assets for The Hartford. Ensuring compliance and visibility into OSS usage as part of software asset management process.