Compliance Officer, Global Ethics Office
Overview
Monitor employee compliance with ethics policies and review personal trading pre-clearance requests. Ensure adherence to trading guidelines and conduct investigations of policy violations. Provide education and support to North American staff regarding personal securities transactions.
What You'll Do5
- 1Provide education to Invesco North America employees about personal trading and gift policies
- 2Review and approve or deny personal trading pre-clearance requests using Star Compliance system
- 3Conduct post-trade monitoring of personal securities transactions for policy compliance
- 4Investigate policy violations and issue education letters as required
- 5Perform other tasks as needed to support compliance operations
Requirements5
- 1Bachelor’s degree or equivalent
- 2Strong analytical skills for time-sensitive decision making
- 3Interest in compliance and financial services markets
- 4Ability to leverage systems and emerging technologies like AI
- 5Excellent organizational skills and deadline management
Salary Insight
Salary not disclosed in listing
Location
Required Skills
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