Compliance Manager – Communications Compliance – Global Private Markets
| Company | Invesco |
|---|---|
| Location | Houston, TX, USA, Dallas, TX, USA, Atlanta, GA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Expert or higher |
Requirements
- Bachelor’s degree or Post-Secondary education required.
- Minimum 10 years’ experience in the investment industry with investment management industry experience required.
- Series 7 and 24 is required
- Must have extensive business knowledge of investment management business with sales and marketing emphasis to include a working knowledge of the industry laws and regulations applicable to communications compliance.
- Experience with SEC and FINRA marketing/advertising requirements and review of marketing materials
- Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Advertising Rule, and FINRA Advertising regulations
- Experience with private markets, private funds, registered products and alternative investments
- Excellent presentation, communication, and interpersonal skills
- Ability to perform independent work related to complex situations.
- Displayed ability to interact with investment professionals and senior management.
- Displayed ability to anticipate internal or external business challenges and/or regulatory issues.
- Self-motivated with project management and process development skills.
Responsibilities
- Provide support for Global Private Markets, Alternatives & cross border activities that are not exclusive to one region and cross one or more regions.
- Review communications for Private Markets & Alternatives business units to ensure compliance with FINRA and SEC regulatory requirements.
- Provide unique and complex support and training on regulatory requirements.
- Evaluate, research and identify regulatory requirements for new and complex products; set up unique processes and procedures for the products as needed.
- Provide highly specialized training to business partners on these complex products.
- Work on and solve complex assignments requiring significant initiatives and independent judgement to search out appropriate course of action within the context of established goals and objectives.
- Field inquiries, independently evaluating situations, making decisions and solving problems. Escalate issues to management as needed.
- Advise business partners on additional compliance risk as it relates to material business and operational changes including new marketing initiatives.
- Provide team support for day-to-day communication material review and approvals and applicable regulatory filings based on requested/applicable deadlines.
- Lead and participate in working group committees and standing meetings.
- Help Implement and support the department’s strategic direction, vision & mission in alignment with the Company’s strategy.
Preferred Qualifications
- Experience with Real Estate, Private Credit or Direct Lending a plus.
- Knowledge of Cross Border product regulations is a plus.