Hybrid Compliance Officer

at Softcard (acquired by Google)

• Job title: Compliance Officer
• Job type: Full Time
• Experience level: Junior, Mid level
• Salary: $70,000 - $90,000 per year
• Degree requirement: Bachelor's Degree
• Tech skills: Python, ServiceNow, SQL, VBA
• Location requirements: Hybrid, Atlanta, United States

About the role

• Compliance Officer role at Invesco, enhancing compliance oversight and supporting regulatory standards. Engaging with teams on compliance-related activities to manage trading and client account setups.

Responsibilities

• Daily Compliance reviews of trading activity, and working directly with portfolio management and trading teams to resolve exceptions noted during reviews of portfolio activities.
• Set up and test compliance rules and restrictions, and review and verify the accuracy of client account setups.
• Read and understand operating manuals, contracts, state statutes, and client documents distilling them down to actionable information and requirements that can be implemented as account restrictions.
• Maintain pertinent compliance logs (employees, errors, complaints) and records and assist in preparing regular compliance reports.
• Assist in the development, implementation, and maintenance of comprehensive compliance program controls and tools including compliance manual, policies, and procedures.
• Assist with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems.
• Keep abreast of changing regulatory requirements news and observations with a focus on how they affect our business.
• Implements and supports the department’s strategic direction, vision & mission in alignment with the Company’s strategy.

Requirements

• 2 to 4 years Financial Services Industry Experience preferably with at least 1 year of Compliance, Audit or Risk Management experience in the investment advisor or mutual fund industry.
• Basic understanding of the general regulatory environment for asset managers.
• Excellent organizational and analytical skills, with the ability to prioritize and meet deadlines to effectively manage self and deliver on agreed upon objectives.
• Experience developing and improving processes
• Experience reading and interpreting complex technical documents to accurately extract information is required.
• Strong MS Office skills and the proven ability to quickly learn new systems is required.
• Proficiency in Python, SQL and/or Excel VBA, or report building/data visualization tools is a plus.
• Strong desire to learn, take on new assignments, and share knowledge.
• Process and detail oriented with the ability to identify risks and opportunities, demonstrating a strong appreciation for complexity and nuance.
• Effective analytical, forward thinking, problem solving, and decision-making skills.
• Experience in working with Salesforce, Snowflake, Perform, Eze, or ServiceNow a plus

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