Invesco India | Senior Compliance Analyst

Responsibilities

• As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world.
• This position would be part of Center of Excellence (CoE) for Investment Compliance and provide necessary assistance to Global Investment Compliance (IC) function from Hyderabad office.
• This role would support EMEA Region, in accordance with relevant regulations (like: UCITS, FCA, COLL, etc.) and fund-specific investment restrictions as contained in the prospectus or investment management agreement.
• This role requires applicable IC related skills (experience in rule coding, rule testing, post trade monitoring and allied reporting) to be effective.
• 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.
• Perform daily reviews of portfolio transactions and monitor compliance investment restrictions applicable to holdings and transactions.
• Analyze complex compliance exceptions, document review rationale, and prepare supporting evidence to demonstrate that appropriate processes and controls meet applicable regulatory requirements.
• Maintain the Compliance Block facility, ensuring that relevant systems are updated to accurately reflect the current block position.
• Review relevant processes and procedures, identify control gaps or inefficiencies, and support practical process improvements and standardization.
• Perform daily manual monitoring activities outside the OMS and complete required compliance list updates in the OMS.
• Collaborate with Regional Compliance teams to assess, document, monitor, report, develop, coordinate, and implement compliance monitoring activities, ongoing testing, and related controls.
• Support compliance-related projects, system changes, account onboarding, user acceptance testing (UAT), and other related responsibilities.
• Perform daily monitoring of overdrawn funds by comparing cash reports received from the Reconciliation team with CRD reports and notify relevant teams for timely resolution.
• Perform quality checks and provide guidance to analysts and new team members as required.
• Grow Your Career with Us

Experience you bring

• Total work experience of 4-6 years required including relevant work experience from asset management industry preferably with an investment advisor or mutual fund group in Compliance or regulatory environment.
• The candidate should have demonstrated experience in independently handling investment compliance monitoring, complex breach analysis, rule coding or testing and stakeholder queries.
• Strong knowledge of and experience with Equity/Fixed Income/ETF Products required, including UCITS Funds, Institutional Products and 40 Act Funds.
• Knowledge of securities regulation as it relates to operations within advisor compliance programs is required.
• Experience in complex investment guideline interpretation and automated compliance monitoring is preferred.
• Experience with regulatory environments such as SEC, ERISA, CSSF and FCA is required.
• Working knowledge of control documentation, operational risk management and audit support would be advantageous.

Invesco Ltd.

With roots going back to 1935, Invesco is an independent investment manager serving retail and institutional investors in more than 120 countries, with its own people on the ground in over 20 of them. Invesco Ltd. is organised under Bermuda law, has its principal executive office in Atlanta, and is listed on the New York Stock Exchange under the symbol IVZ. It manages equity, fixed income, balanced, money-market and alternative strategies, and its range takes in ETFs and index products as well as private markets funds. In India, Invesco has an office in Hyderabad, at the Divyasree Orion campus in Raidurgam, and it also recruits in Mumbai.

Invesco's finance-related openings in Hyderabad include fund administration and reconciliation managers, operations associates, risk analysts and senior compliance analysts. Postings usually ask for a B.Com, M.Com or MBA, often with finance as the main subject, and one lists a CA among the accepted qualifications. One analytical posting looks for a degree in finance, economics, mathematics, statistics or engineering, together with progress towards an accreditation such as CFA, FRM or PRM.

• Industry: Investment management: equity, fixed income, multi-asset, money-market and alternative strategies, ETFs and private markets
• Headquarters: Atlanta, United States (Invesco Ltd., listed on the NYSE as IVZ)
• In India: Office in Hyderabad (Divyasree Orion, Raidurgam), where its finance and operations roles are based; Invesco also recruits in Mumbai