Sr. Compliance Communications Officer
Invesco Ltd.
Ontario, Canada
11d ago

Description

Invesco is a leading global asset management firm with more than $937B* in assets under management. We provide our retail and institutional clients a diverse and comprehensive range of investment capabilities to help people get more out of life.

Invesco is publicly traded on the New York Stock Exchange (IVZ) and has about 7,000 employees in over 20 countries.

As of December 31, 2017)

Job Purpose (Job Summary) :

Executes compliance review of communications to ensure adherence to local regulations and guidelines, as well as Invesco goals and standards.

Lead projects to help support management and departmental needs. Monitors rules and regulations and as needed, amending / developing and implementing policies and procedures that are necessary to ensure that Invesco’s North American subsidiaries operate in accordance with the sales material / communications compliance rules and regulations set forth by federal and provincial / state agencies, self-

regulatory organizations and internal policies. Communicate / train internal clients and Compliance staff on rules and regulations interpretations and the policies and procedures related to Communications Compliance (Compliance).

Key Responsibilities / Duties :

  • Responsible for the day-to-day communication material review, approval and applicable regulatory filings based on requested deadlines.
  • This includes internal and external communications such as our website, emails, social media, presentations, brochures, flyers and more complex communication materials.

  • Provides advice on more complex matters to business partners.
  • Establish and maintain relationships with business partners to advise and consult on their business initiatives. Achieve this through in person meetings or conference calls.
  • Must be able to form a strong understanding of Invesco products, processes, and regulatory requirements
  • Research information and rules / regulations to assist in communication material reviews, including investigating, resolving and documenting issues to complex situations with periodic guidance
  • Adhere and apply broad Compliance related policies and procedures to materials
  • Enhance and maintain the internal web site application for sales and marketing material submissions as well oversee the compliance department intranet site
  • Establish and document compliance related policies and procedures and amending / updating as necessary
  • Monitor the effectiveness of administrative policies and procedures and make changes as required
  • Monitor proposed, adopted and amended rules and regulations, establishing / updating and documenting procedures, policies and training business partners to comply therewith
  • Plays a key role on project teams in the development and implementation of strategic projects related to compliance to include :
  • Creation and maintenance of project documentation, including measures of success, project plans status reports, issue tracking / escalation / resolution, and facilitating team meetings and work sessions and financial tracking / forecasting
  • Prepare formal presentations on project and status for business partners and management when needed.
  • Field incoming calls from internal business partners, independently evaluates situations, makes decisions and solves problems.
  • Escalates issues to management if needed.

  • Provide Compliance training to Compliance professionals and business partners as needed
  • Qualifications

    Work Experience / Knowledge :

  • Minimum 5 -8 years’ previous experience working in the investment industry
  • Must have working knowledge of broker / dealer and advisory operations, transfer agent and other key department functions, investment management industry laws and regulations applicable thereto.
  • Must have extensive knowledge of investment management business with strong understanding of sales and marketing functions
  • Working knowledge of investment industry laws and regulations applicable to communications compliance.
  • Skills / Other Personal Attributes Required :

  • Team player
  • Good communication skills including strong conflict resolution abilities
  • Open minded, flexible, and willing to listen for other people’s opinions.
  • Interpersonal skills necessary to effectively communicate over the phone with a variety of individuals at all technical levels are required.
  • Solutions oriented with business partners
  • Formal Education :

  • Bachelor’s degree preferred or equivalent experience
  • License / Registration / Certification :

  • Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) are preferred
  • Since this role also supports US Compliance Communications, the following FINRA licenses are also preferred :
  • FINRA Series 7 - preferredor within 180 days of completing initial training period
  • FINRA Series 24 - within 240 days ofobtaining Series 7 or completing initial training period if already possessSeries 7
  • 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 is committed to fair and accessible employment practices. If selected for an interview, we will work with you to ensure that your interview is accessible and accommodation is provided.

    Please contact us at accessibility invesco.ca or 1.800.874.6275 to let us know if you require accommodation for an interview due to a disability.

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    North America-Canada-Ontario-Toronto-120 Bloor St E

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