Senior Manager - Compliance

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

Core / Primary Responsibilities:

• Investment limit monitoring, coding of new rules, review the settings of existing rules in trading application for various investment restrictions, clearing of trade alerts, providing reports related to limit monitoring activity to Compliance team  / Risk team for onward reporting, closely working with Chief Risk Officer and Investment Risk team on aspects related to investment limits / breaches, liase with Investment Ops. team (Mid-office team) for activities having impact on limit monitoring, providing guidance to investment team & other functions on various aspects of limit monitoring & regulatory implications. The candidate is expected to bring in paradigm shift to limit monitoring vertical and take it to next level [i.e. comprehensive repository of limits applicable to all schemes (regulatory, SID, internal, logical etc.), impart periodic training to investment team & other functions on aspects related to investment limit monitoring / regulatory implications, continuous review of controls around limit monitoring function & suggest improvements etc./] (Note: Currently IAMI uses Bloomberg trading application)
• Supporting activities related to implementation of Institutional mechanism for identification & deterrence of Market Abuse activities including front running, i.e. generation of alert, review of alerts, support CEO / Compliance officer for closure of alerts and reporting requirements pursuant to institutional mechanism, review of logic for generating alerts, working with CRO closely for alerts.
• Review manuals / policies around investment function / investment related activities i.e. Equity / Fixed Income Manual, Credit Assessment Policy, Trade Execution & Allocation, Stress Testing, Polling, Voting, Stewardship Code, IST, Best execution, voice recording, dealing room controls etc. & draft new policies/ manuals as may be required from time to time.  
• Putting in place systems for monitoring of trading activities viz. best execution, price variance, volume participation, dealing room controls etc.

Support / Manage Other Compliance Activities

• Compliance matters i.e. product launch & related activities, HY updation of SIDs / KIMs, review / vetting of marketing materials, review of HY financials / portfolios / scheme annual report, Manuals & policies implementation & updation, notices & addendums, checklists for various regulatory activities, other compliance related matters as may be delegated from time to time.
• Regulatory as well as Board reporting / senior (global) leadership of Invesco.
• Regulatory change management (with specific focus on investment related activities) i.e. keeping track of regulatory changes, analysis of circulars / notifications, impact analysis & tracking of implementations at IAMI, tracking orders issued by SEBI, SAT & Courts, informal guidance, & preparing impact / action points for IAMI.
• Providing guidance to internal / external stakeholders on various regulatory & compliance matters.
• Liase with Internal & Statutory Auditors for data requirements related to limit monitoring / market abuse monitoring
• AML related activities
• Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.

Qualifications: Preference is for CA. However, candidates with MBA / Masters in Law qualification with relevant industry experience may also apply. Additional qualification like FRM will be added advantage.

Knowledge:

Looking for candidates who have managed investment limit monitoring function at MF/ insurance company or at back-office centre of global asset managers. Knowledge of MF Regulations with emphasis on investment limits monitoring, understanding of various types of instruments, market practices / settlement cycles is a prerequisite. Further, the candidate should have excellent skills in MS excel.

Competencies: Execution skills, analytical bend of mind, good communication skills, ability to decode the regulations, solution oriented.

Attributes: Commitment & passion for work, eagerness to learn, teamwork, ability to stretch & sustain work pressures, good inter-personal skills, Team player

Requirements: Minimum 7-10 years’ experience in capital / securities market / limit monitoring function (candidates with AMC background & having experience with Bloomberg Order Management System will have an edge)

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

NoWorkplace 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 four 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/