Compliance Lead

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

Job Purpose (Job Summary):

The Compliance Lead will be part of Core Compliance Operations Team in Hyderabad, Global Core Compliance function, part of Invesco’s Global Compliance department, is a global function managing diverse Compliance areas such as Global Ethics Office, Global Regulatory Reporting, Communications Compliance, Financial Crime Compliance and others, for Invesco’s global offices. The team works closely with the Compliance teams and the business representatives across countries. Core Compliance supports these stakeholders manage risks, ensure regulatory compliances, and provides solutions and advice on related matters. The Compliance Lead will support Invesco’s corporate mission statement and will be responsible to effectively manage specific Compliance areas. Key responsibility of the Compliance Lead will be to manage training administration processes for global Compliance trainings, support the Global Ethics Office on specific analysis and reporting activities, support maintenance of global Compliance policies, support regulatory reporting activities, train and supervise direct/indirect team members as assigned based on business needs and perform analysis, reporting and operational activities to support global Compliance teams.

Key Responsibilities / Duties:

Provided below are Key responsibilities/areas of work:

• Globally manage end-to-end training administration processes for all global Compliance trainings across Americas, APAC and EMEA regions. Key activities include:
  • Be a subject matter expert on the features/functionalities of the learning management systems and tools
  • Configuration of training contents received from global training owners on the learning management system – configuration of presentations, audio and other elements in appropriate format
  • Assignment of trainings to employees and consultants
  • Providing support to employees globally in resolving technical issues
  • Tracking completion status of trainings
  • Performing analysis on training completion status and trends
  • Preparation of periodic reports on status of completion of trainings

• Support Global Ethics Office team on specific activities such as:
  • Perform analysis of gifts, benefits and entertainments declared by the employees for countries in Americas, EMEA and APAC regions to detect potential policy breaches/red flags
  • New Hire Outside Business Activity and Political Contributions review

• Preparation of periodic Regulatory reports:
  • Regulatory filings of SFC and MAS for Hong Kong Compliance teams
  • Sub-Advisor Due Diligence Questionnaire for Hong Kong

• Policy Management support for global Compliance policies, such as:
  • Be a subject matter expert on the features/functionalities of the tool utilized
  • Configuring the polices as per standards and support the policy owner across global
  • SharePoint maintenance of global Compliance policies, follow up’s on overdue polices and periodically tracking policy revisions or updates for CCO’s

• Support Compliance teams in Americas region to track completion by FINRA representatives, of specific FINRA requirements such as Licensing and Registrations and Continuous Education.

• Perform analytical, reporting and operational activities to support global Compliance teams

• Train and supervise direct/indirect team members assigned based on business needs

• Perform quality checks of activities within team.
• Prepare and maintain documentation of procedures, process-flows and roles and responsibilities, for the activities being managed from Hyderabad.
• Maintain, track and report key performance indicators/metrics for Compliance related activities. 

• Maintain highly confidential files with respect to sensitive information.
• Execute special projects and ad-hoc tasks as required.

• Partner effectively with local and global Compliance team members and other business functions as required.
• Contribute to firm’s global initiatives and programs relating to process improvements, enhancing automation, process standardization across countries, improved analytics, and others

• Escalate issues effectively to appropriate levels of management.

Working Conditions: 

• Working hours will be from 11.30 AM to 8.30 PM IST. however, the schedule may change from time to time based on business, process or project related requirements
• Shall be open to work flexible hours

Work Experience / Knowledge: 

6+ years of related work experience demonstrating the skills identified; preferably in Compliance domain in Asset Management or Financial Services industry operating in a similar regulatory environment. Knowledge of financial products will be added advantage.

Skills / Other Personal Attributes Required:

• Good written and verbal communication skills
• Interpersonal skills necessary to effectively communicate over phone with a variety of individuals across various regions and levels
• Strong analytical skills and attention to detail
• Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations
• Team player
• Proficiency on MS Office suite of application

Formal Education: (minimum requirement to perform job duties)

MBA or Degree in Commerce/Finance

Disclaimer: The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification.  It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Incumbents may be required to perform other duties as deemed appropriate by the supervisor from time to time.

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 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/