Compliance Officer

Employee stock purchase plan

Job Description

The Team:

The compliance team is part of the implementation and maintenance of a robust global regulatory reporting department for Invesco, Ltd.

The Role:

As a Compliance Officer, you will be primarily responsible for ensuring that the company’s business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards.

Key Responsibilities:

· Ensure that regulatory and compliance reports are filed timely and correctly.

· Assist in responding to regulatory inquiries.

· Ensure all compliance procedures are appropriately documented.

· Address day-to-day compliance issues related to trading strategies and the application of technology related controls created and applied during this process by the Compliance department.

· Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet SEC/regulatory requirements and ensure compliance with all policies and procedures.

· Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.

Work Experience:

· Bachelor's degree in a relevant field of study is required.

·Experience with the regulatory environment (SEC, CFTC/NFA, FINRA).

· Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940;

· Familiarity with trading systems and their compliance components such as Bloomberg, or Charles River is a plus.

· Knowledge of securities regulation, as it relates to operations within the financial services industry preferred

· Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus

· Proficiency in the Microsoft Office suite of applications is a plus

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

Workplace Model

Pursuant to Invesco’s Workplace Policy, employees are expected to comply with the firm’s most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office. This reflects our belief that spending time together in the office helps us build stronger relationships, collaborate more easily, and support each other’s growth and development.

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. 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. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.

Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment.