Senior Compliance Officer – Collective Trust & Broker Dealer Expertise

Senior Compliance Officer – Collective Trust & Broker Dealer Expertise

Requirements

• Bachelor’s degree plus 3 to 5 years’ experience working in a bank, broker/dealer, mutual fund, or transfer agent environment preferred
• Proficient working knowledge of banking rules, retirement regulation, collective trusts and private placements
• Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
• Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
• FINRA Series 7 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51 or 53)

Responsibilities

• Maintaining relationships with regulatory authorities
• Monitoring proposed, adopted, and amended rules and regulations
• Maintaining the trust company internal testing program and providing reports of results on a quarterly and annual basis
• Oversight and management of Texas Department of Banking exams and inquiries
• Managing Internal Audit and/or Compliance Monitoring & Testing inquiries of Trust Company business
• Advising business partners of regulatory and compliance requirements and responds to queries from internal clients, including the Trust Company and Invesco’s broker/dealers
• Assisting in reviewing, investigating, escalating, and responding to any items identified on the annual compliance questionnaires
• Preparing and presenting documentation of the Trust Company compliance program for committee and Board of Director meetings
• Maintaining and updating compliance policy and manual for the Trust Company
• Quarterly certification of risk events impacting the Trust Company product line
• Management of the risk assessment dashboard for the Trust Company
• Helping facilitate FINRA and NFA branch inspections administered by Distributor Compliance
• Assisting in developing and implementing internal compliance training programs
• Assisting the Distributor Compliance team in establishing and documenting compliance related policies and procedures pertaining to membership and registration requirements, broker/dealer written supervisory procedures, and other compliance related policies
• Creating, updating, and maintaining department databases, including maintenance and support of the Distributor Compliance dashboard
• Participating in Compliance initiatives and projects as may be assigned

Preferred Qualifications

• FINRA Series 7 preferred or willingness to complete industry courses (ex. FINRA SIE, Series 7, 24 and 66, and MSRB Series 51 or 53)