Regional Investment Compliance Analyst – UK

4 weeks ago

HenleyonThames, United Kingdom OppenheimerFunds Distributor, Inc Full time

Description

We have an outstanding benefits package which includes:

Company-provided healthcare

A competitive annual leave allowance

Flexible working options, including hybrid working arrangements

Generous pension provisions

Income protection

Health and wellness benefits

Volunteering days

Enhanced parental leave

Life insurance

What we are looking for:

We are looking for our next Regional Investment Compliance Analyst - UK based in our EMEA headquarter in Henley-on-Thames . In this role you will ensure mandates are in compliance with their regulatory and contractual restrictions.

Among others, you'll could be responsible for:

Working with the front office to resolve pre-trade violations in Charles River. The mandates traded are across a wide scope of asset classes including equity, fixed income or multi-asset with regulations spanning the requirements of global regulators.

Investigating and validating overnight alerts as raised by offshore (Hyderabad) teams using Charles River. As part of the UK Investment Compliance team ensure breaches are logged and classified accurately, where required reported to third parties and appropriate escalation is followed through.

Working closely with Product and Legal Teams to ensure that Invesco funds, ETFs and client mandates are launched with robust controls for their investment restrictions.

Contract analysis of client IMA and regulatory investment restrictions, covering both new mandates and changes to existing. Collating information for coding requests to offshore teams from this analysis. Rule sign-off for these requests completed by offshore team.

Managing the UK Investment Compliance Inbox to take care that all tasks and queries are completed according to relevant deadlines. This will include appropriate delegation across the UK Investment Compliance Analysts working in Charles River as the need arises.

Representing UK Investment Compliance on cross functional meetings.

You'll need to have:

Experience of pre-trade and overnight guideline monitoring. Strong preference for Charles River.

Managing a lively Inbox to prioritise work and ensure all requests are answered on time.

Interpreting investment restrictions from prospectuses and client investment management agreements.

Working with offshore teams effectively. Providing appropriate oversight and guidance as needed.

Ability to code is not a requirement but desirable. Role requires ability to understand and approve rule coding for Charles River investment compliance restrictions.

Raising breaches and implementing a robust control framework to reduce risk of repeating errors.

Solid understanding of asset management industry.

Understanding of regulatory frameworks such as UCITs and NURS

Being highly organised with a strong eye for detail

Having excellent verbal and written communication skills and the ability to build positive relationships across the organisation including with front office teams.

Working effectively with the Global Investment Compliance teams including EMEA, US, APAC and India.

Remaining calm and operate effectively under pressure

Being self-motivated and take a pro-active approach to problem solving.

Ability to see the bigger picture when resolving issues.

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 three days a week, with two days working outside an Invesco office. 

If this sounds like you, we’d love to hear from you We want all of our candidates to shine during the application and selection process, so if you need any adjustments to be made, please send an e-mail to emea- Please include your name, the job you are interested in, and the type of adjustment you need (for example; breaks during your interview, remote interviews, additional time for assessments or other required adjustments)

Equal Opportunities:
We are an equal opportunities employer. Our mission is to welcome everyone and create inclusive teams. We celebrate difference and encourage everyone to join us, and be themselves at work.

Our commitment to the community and environmental, social and governance investing:
We partner with charitable organisations globally to make an impact in the communities where we live and work. Our people are encouraged to support the charities they feel most passionate about. We are also committed to environmental, social and governance (ESG) investing. We serve our clients in this space as a trusted partner both on specific responsible investment product strategies as well as part of our commitment to deliver a superior investment experience. 

Recruitment Agencies: 
Invesco has an in-house recruitment team, which focuses on sourcing great candidates directly. Invesco will not accept unsolicited resumes from agency or search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired. When we do use agencies, we have a PSL in place, so please do not contact hiring managers directly.

Regulatory:
This position may fall in-scope of one or multiple regimes/directives.

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