Senior Compliance Executive

7 months 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 Senior Compliance Executive based in our UK Product Compliance Advisory team in Henley-on-Thames .

You will act as the Compliance Advisory subject matter expert on regulation relating to the UK collective investment scheme products, operations and administration. Assisting with advising the business on new distribution initiatives.
 

You Will Be Responsible For:

Advising on the application of the UK regulatory rules pertaining to Product, Fund Administration, Fund Accounting and Distribution Services.

Being the compliance relationship manager for Product, Fund Administration, Fund Accounting and Distribution Services

Being the representative for compliance on a number of governance committees, including the UK Dilution Committee

Acting as a contact point for queries from the relevant business areas

Advising on compliance regulations, rules and standards, thereby keeping stakeholder teams advised on regulatory developments

Inputting to written guidance for partners implementing compliance regulations, rules and standards through policies and procedures, and other documents such as compliance manuals

Encouraging awareness of a good compliance culture and effective conflicts of interest management and fair treatment of customers and the application of the Consumer Duty

Develop mutually supportive and collegiate working relationships with the wider Compliance team, Legal and Risk counterparts

Provide support to the Head of UK Compliance (SMF16) on relevant UK regulatory projects/one-off requests


The Experience You Bring:

Meaningful experience in Compliance, within asset management or financial services.

Experience of fund governance and distribution in the UK, including distribution channels and products (e.g. UCITS, AIFs, PRIIPS, Investment Trusts)

A good understanding of the rules within COBS/COLL/DISP/ESG/FUND/PRIN/PROD/SYSC

Know-how of the nature of the business and the regulatory landscape

Ability to build positive relationships with excellent communication skills

Strong eye for detail

Good organisational skills with ability to adapt and prioritize

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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