Senior Compliance Executive (Compliance Monitoring)

As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. 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, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day!

Job Description

We have an outstanding benefits package which includes:

What we are looking for:

We are looking for our next Senior Compliance Executive with focus on Compliance Monitoring based in our EMEA headquarter in Henley-on-Thames!

You'll be part of the EMEA Compliance team at Invesco, who is responsible completing risk based reviews which provide senior management with assurance that the firm is carrying out its activities in line with relevant law and regulations.

In your role you'll lead and/or assist on thematic and continuous monitoring reviews in Henley-on-Thames, London, overseas group offices and at third parties, as the need arises, in order that appropriate assurance is provided to senior management as to the compliance of the firm with its policies, procedures and regulatory requirements.

You'll be responsible for:

• Planning, fieldwork, collaborator meetings, report production and action tracking for thematic compliance monitoring reviews

• Continuous monitoring and trade surveillance

• Represent EMEA Compliance Monitoring in project workstreams and change management projects if necessary

• Support production of ad-hoc and periodic management information reporting to CCOs and senior leaders on the status of the compliance monitoring programme

• Liaise with Compliance Advisory teams on emerging themes and review findings in order for those to be incorporated into compliance advice to the business

• Build and manage relationships with key business partners throughout the compliance monitoring process

• Drive excellence, proactive engagement and challenge, and reassess work output with a view to building continuous improvement

You'll need to have:

• Previous proven asset management compliance monitoring experience, either within a compliance monitoring, audit, consulting or a regulatory role

• Broad regulatory knowledge and experience, and a sufficiently high level of expertise to be able to lead EMEA-wide compliance monitoring work

• Strong interpersonal skills, including written and verbal communication and influencing skills

• Solid understanding of EMEA regulatory requirements (e.g. FCA, CBI, CSSF, BaFIN, AMF)

• A self-starter with the ability to drive forward the work plan under little supervision

Disability Confident Scheme

Applicants who opt in to the Disability Confident Scheme and meet the ‘minimum criteria’ for the role will be offered an interview. We are committed to providing an inclusive recruitment process for all candidates who make an application. By opting-in to this scheme, applicants will be disclosing that they have a disability solely for the purpose of the Disability Confident Scheme.

The Disability Confident Scheme only guarantees an interview – it does not automatically mean that applicants interviewed will gain employment with Invesco at that time.

To apply through the Disability Confident Scheme, you’ll need to firstly ensure you have applied for the role via our external careers page. Following this, you’ll need to email us at [email protected] confirming your wish to opt-in, alongside your contact details and the title of the role you wish to apply for.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

YesWorkplace 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. 

If this sounds like you, we’d love to hear from you! We want all of our candidates to shine during the application and selection process, so if you need any adjustments to be made, please send an e-mail to [email protected]. Please include your name, the job you are interested in, and the type of adjustment you need (for example; breaks during your interview, remote interviews, additional time for assessments or other required adjustments)

We promote a working environment that welcomes everyone and creates inclusive teams, celebrates difference and encourages everyone to be themselves at work.

Our commitment to the community and environmental, social and governance investing:
We partner with charitable organisations globally to make an impact in the communities where we live and work. Our people are encouraged to support the charities they feel most passionate about.  We are also committed to environmental, social and governance (ESG) investing. We serve our clients in this space as a trusted partner both on specific responsible investment product strategies as well as part of our commitment to deliver a superior investment experience. 

Recruitment Agencies: 
Invesco has an in-house recruitment team, which focuses on sourcing great candidates directly. Invesco will not accept unsolicited resumes from agency or search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired. When we do use agencies, we have a PSL in place, so please do not contact hiring managers directly.

Regulatory:
This position may fall in-scope of one or multiple regimes/directives.