Vista previa generada por IA
Senior Compliance Officer – Houston, Texas – Manage ethics and compliance for Invesco's North America employees
Lead policy enforcement, stakeholder engagement, and investigations within the Global Ethics Office.
About Invesco
As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.
What’s in it for you?
Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:
- Flexible paid time off
- Hybrid work schedule
- 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan
About the Department/Team:
The Global Ethics Office (GEO) mitigates conflicts of interest and ensures employee compliance with regional policies related to personal account dealing, outside business activities, gifts and entertainment, and political contributions.
About the Role:
The Compliance Officer monitors employee compliance with the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies through Star Compliance, the Service Now Global Ethics Office Support Portal, and conversing with employees directly. This position will primarily support North American employees.
Responsibilities of the Role:
- Provide education to Invesco North America employees by answering their questions and concerns around personal trading, outside business activities, political contributions, and gifts and entertainment.
- Coordinate and support small- to mid-sized projects, ensuring effective planning, stakeholder alignment, and timely delivery of compliance-related initiatives.
- Monitor employee completion of reports from time to time as required by policy. This includes, but is not limited to, submission of initial/annual acknowledgement forms, brokerage account listings, initial/annual holdings reports, and quarterly transaction reports.
- Review personal trading pre-clearance requests to determine if it should be approved or denied based on the personal trading policy using the Star Compliance Employee Conflicts of Interest system.
- Conduct post-trade monitoring of all personal securities transactions to verify compliance with the trading policy.
- Conduct investigations of conduct that violates the Code of Ethics and Personal Trading Policy, the Global Outside Business Activities policy, the Global Political Contributions policy and regional Gifts and Entertainment policies by any employee and issue letters of education as required.
- Performs other tasks as needed.
Requirements for the Role:
- Bachelor’s degree or equivalent.
- Strong analytical skills with the ability to make critical, time-sensitive decisions.
- Interest in compliance area and financial services markets.
- Strong digital acumen with an ability to leverage systems and emerging technologies (including AI) to streamline processes, enhance monitoring, and drive continuous improvement in compliance operations.
- Excellent organizational skills and ability to manage competing priorities and deadlines.
- Customer service oriented with a consultative approach to collaborating with peers and business partners.
Full Time / Part Time
Full time
Worker Type
Employee
Job Exempt (Yes / No)
Yes
Workplace Model
Pursuant to Invesco’s Workplace Policy, employees are expected to comply with the firm’s most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office. This reflects our belief that spending time together in the office helps us build stronger relationships, collaborate more easily, and support each other’s growth and development.
Additional Information
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.
Equal Opportunity Employer Statement
Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment.