Compliance Manager

About Invesco

As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.

What's in it for you?

Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:

- Generous annual leave plus f lexible paid time off
- Hybrid work schedule
- Learning and development programs
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan (if applicable in your region)

Job Description

- Identify Invesco’s compliance, regulatory and contractual obligations as:
- The holder of an Australian financial services license issued under Part 7.6 of the Corporations Act 2001.
- The responsible entity of various managed investment schemes registered under the Corporations Act. An investment manager pursuant to various investment mandates for institutional clients.
- A party to various business and commercial contracts.
- A corporation registered under the Corporations Act.
- A subsidiary of Invesco Ltd, a US registered company listed on the New York Stock Exchange.
- Ensure that investment capabilities utilized by Australian investors but managed by other Invesco offices offshore are maintained in accordance with documented processes and controls.
- Support the review and enhancement of governance, risk and compliance framework by implementing local and group standards, systems, policies and procedures, with a view to developing best practice processes for the conduct of Invesco’s business.  Support the Head of Legal & Compliance, to advise the business on new and changed regulations and standards and assist the business to assess business impacts.
- Support the Head of Legal & Compliance, to advise the APAC Regulatory Change Committee on the potential impact of regulatory changes.
- Monitor the efficiency and effectiveness of the systems, policies and procedures that are currently in place, and work with the Global Compliance teams to centralise compliance functions where possible.
- Support targeted compliance risk and policy reviews and draft and assist with implementing solutions to process and control design, working closely with the regional Compliance Monitoring team to provide Australia’s input.
- Act as the local subject matter expert for monitoring the Company’s substantial shareholdings and to report to the ASX as appropriate (with support from Hyderabad administration team).
- Participate in local risk governance processes and committees and support the group risk management framework.
- Support internal control reviews, audits and remediation activities to assist in ensuring that Invesco’s internal controls framework complies with industry standards and that it meets appropriate audit standards.
- Support compliance with the Company’s Code of Ethics and Star Compliance system, to make sure that conflicts of interest such as personal trading and gifts & entertainment are managed appropriately.
- Maintain Invesco’s AML Program, and FATCA/CRS oversight. To act as AML/CTF Compliance Officer and act as the local subject matter expert for financial crime matters.
- Provide training, including induction training, and advice to staff on their regulatory obligations, and the operation of local and group policies and procedures.
- Manage local compliance aspects of the incident reporting system and ensure that all incidents, breaches, errors and complaints are appropriately managed, reported and resolved.
- Support the operation of the Compliance Committee and participate in and report to:
- The Risk Management Committee.
- The Trading Oversight Committee.
- Member of the Invesco Australia’s Emergency Management Team (EMT).
- Fulfil relevant reporting requirements to other Invesco offices and to local and offshore regulators as appropriate.
- Follow up and help staff in understanding and complying with Invesco Australia compliance policies, procedures and systems.
- Liaise with and assist internal and external auditors where appropriate and to ensure that all outstanding audit issues are followed-up and resolved. To act as primary contact point for Derivative Risk Management Statement, Compliance Plan and GS007 audits. To maintain the GS007 Internal Controls Report and update it for business and control changes each year.
- Review all marketing materials produced for distribution in Australia to ensure that they comply with regulatory and industry standards.
- Review all client reporting to ensure compliance with IMAs.
- Engage with stakeholders across the organisation to conduct local and group compliance activities and initiatives.
- Support the Head of Legal & Compliance to engage with regulators as appropriate.

#LI-DNI

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

Yes

Workplace 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 one day working outside an Invesco office.

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 local laws governing non-discrimination in employment.

Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.