Senior Compliance Analyst

Senior Compliance Analyst

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

Your Team

Global Regulatory Reporting (GRR) team is a sub function of Global Compliance team. GRR team will monitor prepare and file regulatory reports/disclosures for specific areas, perform analytical and monitoring activities and conduct other applicable projects/assignments as required.

Your Role

• Monitoring/reviewing of daily, weekly, monthly, and quarterly reports.
• Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet regulatory requirements and ensure compliance with all policies and procedures.
• Perform daily activities in preparation of periodic regulatory filings, such as Dealing Disclosures, Substantial share holdings disclosures, short reporting.
• Analyze the data and prepare documentation to support substantial shareholding reporting to meet global regulatory requirements.
• Understanding regulatory requirements in America’s region and act steps to meet all the requirements.
• Stay current of all regulatory changes related to reporting thresholds, reporting deadlines, updated/new disclosure forms to be used occurring in various regions (US/north America) and ensure update procedures and applications to reflect the changes accordingly.
• Interact with members of the global compliance and legal teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
• Perform daily activities in preparation of periodic regulatory filings, such as Section-16, 13G, 13F, 13H and 13D reports.
• Review the restrictions and approve the relevant trades on restricted securities as applicable.
• Participate in compliance related projects and responsibilities.
• Identify and review requests from external parties and determine appropriate responses for such requests, this includes requirements from various departments and business units too.
• Assist in resolving queries with regional/global compliance teams.
• Conduct deep investigations regarding any potential issues or regulations and provide analysis to senior managers.
• Handle responsibility for ensuring consistent day-to-day production is achieved.
• Engage in cross-functional initiatives, as required, to promote Continuous Improvement initiatives.
• Proactively seek and research solutions to compliance issues related to data issues, filling gaps in collating required details for monitoring and reporting as they arise.
• Respond to basic, intermediary, and advanced/complex questions/queries from other teams independently and report to senior managers for escalation.
• Total relevant work experience of 4-7 years required with investment advisor or mutual fund group in Compliance or regulatory environment.

The Experience You Bring

• Knowledge of Financial products and Mutual fund industry
• Knowledge of regulatory requirements
• Understanding of regulatory changes and new reporting requirements
• Good analytical skills and attention to detail
• Excellent interpersonal skills to work effectively with a network of colleagues spread across different time zones.
• Proficiency in MS Office
• Strong written and verbal communication skills
• A positive attitude and willingness to learn.
• Open to flexible working hours
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg would be given preference.

Academic requirements

• Bachelors or Master's (preferred) degree in Commerce / Finance

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

No

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: 

• Competitive Compensation 
• Flexible, Hybrid Work 
• 30 days’ Annual Leave + Public Holidays 
• Life Insurance 
• Retirement Planning 
• Group Personal Accident Insurance 
• Medical Insurance for Employee and Family 
• Annual Health Check-up 
• 26 weeks Maternity Leave 
• Paternal Leave 
• Adoption Leave 
• Near site Childcare Facility 
• Employee Assistance Program 
• Study Support 
• Employee Stock Purchase Plan 
• ESG Commitments and Goals 
• Business Resource Groups 
• Career Development Programs 
• Mentoring Programs 
• Invesco Cares 
• Dress for your Day 

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. 

To know more about us 

About Invesco: https://www.invesco.com/corporate/en/home.html 

About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html 

About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html 

About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html 

Apply for the role @ Invesco Careers: https://careers.invesco.com/india/ 

Experience Level

Senior Level