Job Description

Your Role:

In this role you will be a part of a Communications Compliance team that provides compliance support to Private Markets, Alternative Investments, Global and Cross Border business areas requiring unique and complex support. In addition, you will support key high profile global business initiatives and projects and be responsible for proactive compliance with all applicable regulatory requirements regarding the compliance review of advertising and marketing materials for both the Retail and Institutional business. This includes executing the compliance review of communications and supporting assigned projects. You will also be required to monitor rules and regulations and as needed, amending/developing and implementing policies and procedures as directed that are necessary to ensure that Invesco’s subsidiaries operate in accordance with the sales material/communications compliance rules and regulations set forth by regional regulatory agencies.

What you would be responsible for:

• 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. This includes but is not limited to internal and external communications such as our website, emails, social media, presentations, brochures, flyers and more complex communication materials.
• 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.

Experience you bring:

• 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
• Experience with Real Estate, Private Credit or Direct Lending a plus.
• Knowledge of Cross Border product regulations is a plus
• 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.
• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Thrives in a fast-paced environment with a continuous learning mindset
• Ability to work independently and within a geographically spread team environment, including flexibility with schedules across time zones.
• Ability to train colleagues and business partners on complex products and regulatory requirements as needed.
• Demonstrated strong communication skills
• Self-motivated with project management and process development skills

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