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APAC IC Officer

mid · Risk & Compliance

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 very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including: 

• Generous annual leave plus flexible paid time off

• Hybrid work schedule 

• Learning and development programs

• Health & wellbeing benefits 

• Parental Leave benefits 

• Employee stock purchase plan (if applicable in your region)

Job Description

About the role/Key Responsibilities:

The role is responsible for carrying out regional investment compliance monitoring activities, working closely with regional team members, offshore support teams, and key stakeholders. It supports accurate monitoring, timely issue identification, effective escalation, robust documentation, and ownership of outcomes, aligned with the global Investment Compliance operating model.

• Validate pre-trade alerts in order management systems, providing effective second line challenge, working directly with investment and trading teams, and collaborating with Investment Compliance team members and other stakeholders as needed to support investment activity in a timely manner, with clear documentation of analysis and outcomes where required
• Oversee and validate post-trade batch monitoring output, providing effective second line challenge, and collaborating with investment, trading, Investment Compliance team members, and other stakeholders as needed to assess whether alerts are valid, including root cause analysis and documentation of compliance exceptions where required
• Work with offshore and global Investment Compliance teams to support investment restriction workflows, including clarification of requirements, follow up on outstanding items, and effective handoffs across teams
• Analyse client mandates, prospectuses, and regulatory requirements to identify investment restrictions
• Participate in rule testing and validation activities, ensuring outputs align with defined requirements
• Maintain accurate audit trails for rule interpretation, monitoring outcomes, compliance exceptions, and breach investigations, including clear documentation of analysis, decisions, and outcomes
• Respond to queries from investment, trading, and other stakeholders in a clear and timely manner
• Collaborate with regional and global teams to support consistent application of investment compliance standards and ways of working
• Support effective communication and coordination across the region and time zones, including in relation to APAC market coverage such as Japan and Australia
• Identify opportunities to improve processes, data quality, or monitoring efficiency, and contribute to the implementation of agreed improvements
• Support ad hoc compliance projects, process improvement initiatives, regulatory changes, and audit activities as required

POSITION QUALIFICATIONS

We recognise that strong candidates may not meet every qualification listed below. If your experience is relevant to the role and you can demonstrate the core capabilities required, we encourage you to apply.

• At least 2 to 4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function, ideally within asset management or another regulated financial services environment
• Experience with investment compliance monitoring is preferred
• Good working understanding of investment management processes, portfolio construction, and trading activity is highly desirable
• Experience working with investment or trading teams
• Good understanding of the asset management industry, regulatory environment, and investment products and strategies across the APAC region
• Knowledge of a broad range of investment products and strategies, including regulated retail funds, MPF, UCITS, index-tracking strategies, segregated mandates, and alternative investments
• Strong understanding of regulatory frameworks and investment restrictions across jurisdictions, including UCITS and relevant APAC regulatory requirements
• Hands on experience with compliance modules in order management or compliance monitoring systems such as Aladdin, CRIMS (CRD), Charles River, Bloomberg, or equivalent platforms is beneficial
• Japanese language capability is a strong advantage, particularly in supporting stakeholder engagement in relevant markets

KEY COMPETENCIES AND PERSONAL ATTRIBUTES

We recognise that strong candidates may not demonstrate all the attributes listed below. If you bring the core strengths needed for the role and can show how you would add value, we encourage you to apply.

• Strong attention to detail and ability to follow structured processes accurately
• Sound analytical judgment, with the ability to assess information, reach balanced conclusions, and escalate appropriately where needed
• Clear written and verbal communication skills in English
• Ability to manage multiple tasks and prioritise effectively in a time-sensitive environment
• Proactive and collaborative approach, with willingness to learn and develop technical expertise
• Ability to operate effectively within a defined control framework, exercising judgment, escalating appropriately in complex or ambiguous situations, and maintaining clear documentation of analysis and outcomes
• Collaborative approach across global teams, working consistently as part of one team
• Ownership mindset, with accountability for seeing work through to completion and maintaining quality across handoffs, escalating appropriately where needed
• Able to build effective working relationships with investment, trading, and other stakeholders

Full Time / Part Time

Worker Type

Job Exempt (Yes / No)

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 four days a week, with one day working outside an Invesco office.  

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 local laws governing non-discrimination in employment. 

Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.