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.

Job Description

Assistant Compliance Manager

Hyderabad, India

Who we are

With over $2.2 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 7500 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

Investment Compliance is a sub function of Global Compliance team. Investment Compliance is part of Center of Excellence (CoE) and provides necessary assistance to Global Investment Compliance (IC) function from Hyderabad office. Candidate assuming this role would report to Compliance Manager leading overall HYD IC Americas Equity Supporting team and would be leading sub-team focusing on product ranges i.e. 1940 Act funds, Multi-Asset funds. Candidate would be responsible for carrying out post trade monitoring, rule coding and testing for account launches and guideline amendments, and other allied daily, monthly, quarterly reporting. This role would also provide support as required to EMEA, US, CA and APAC IC teams for cross border funds, in accordance with relevant regulations (like: 1940 Act, UCITS, FCA, COLL, ESMA guidelines, SFC Rules, 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, post trade monitoring and allied reporting) to be effective.

Your Role

Lead sub-team focusing on product ranges i.e. 1940 Act funds, Multi-Asset funds within overall HYD IC Americas Equity Supporting team in India GCC (Hyderabad office) dedicated to performing Investment Compliance activities, including post trade monitoring, rule coding and testing for account launches and guideline amendments, and other allied daily, monthly, quarterly reporting tasks, supporting Track A & Track B project testing activities as required and manage work performed by the team, along with people management responsibility end to end
Manage the team which would have senior SMEs too, including performance management, succession planning, providing regular feedback, coordination with respective stakeholders, managing process updates/changes, staff development, team motivation, engagement, and retention
Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system
Regular Rule maintenance on trading application i.e. Charles River Development (CRD)
Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
Assist in resolving queries with regional compliance teams
Assist with ongoing review of relevant processes and procedures to ensure best practice
Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership
Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
Act as subject matter expert in resolving complex situations in day-to-day tasks and mentor other colleagues in team
Assist in Compliance-related projects and initiatives.
Effectively find solutions to compliance issues as they arise.

SHIFT Timings:

Timing would be primarily aligned to Americas Region i.e. 5:30pm to 2:30am IST, however this subject is subject to change based on business requirement from time to time. Also, daylight saving would have an effect on the timings.

The Experience You Bring

Total work experience of 6 to 8 years required including 4 to 6 years of relevant work experience of compliance monitoring and rule coding with an investment advisor or mutual fund group in Compliance or regulatory environment.
Strong knowledge of and experience with 40 Act Funds, Multi-Asset Funds, Equity/Fixed Income/ETF Products required, and Institutional Products. Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.
Experience with regulatory environments such as SEC, 1940 Act, NI 81-102 is required.
Excellent communication and interpersonal skills
Strong analytical skills and attention to detail
Should carry people management experience
Effective computer skills
Flexible and adaptable attitude

Proficiency in MS Office suite of applications
Familiarity with trading systems and compliance components such as Charles River, Bloomberg AIM, LZ Sentinel or Aladdin

Academic requirements

B. Com / M. Com / MBA /CA / Degree in Commerce/Finance

Why Invesco

In Invesco, we do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We support and inspire each other to ensure our significant growth, both personally and professionally.

We trust in diverse, inclusive, and accommodative workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we support connection and community through our many employee-led Business Resource Groups (BRGs).

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

In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

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 three days a week, with two days working outside an Invesco office.

Why Invesco

In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally.

We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).

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: