Invesco Recruiting CA/B.Com/M.Com/MBA/PGDM/Degree in Commerce/Finance for the position COMPLIANCE LEAD .This position requires CA/B.Com/M.Com/MBA/PGDM/Degree in Commerce/Finance with prior experience. Interested and eligible candidates have to apply with like arranged at bottom of this post. This vacancy available from 22nd oct 2022 and will expire soon .We are recommended to apply as earliest for early shortlist . Shortlisted candidates have to go through selection process( Test, Interview rounds ) for selection for the position.
Summary of Vacancy- COMPLIANCE LEAD
|Salary Offering||Not Disclosed|
|Hiring Designation||COMPLIANCE LEAD|
|Qualification||CA/B.Com/M.Com/MBA/PGDM/Degree in Commerce/Finance|
|No Vacancy||Not Disclosed|
Job Role or Description
- Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded and/or to code relevant rules on order management system
- Regular Rule maintenance on trading application i.e. Charles River Development (CRD)
- Conduct Account Mapping / Review viz a viz applicable rule
- Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
- Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
- Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
- Assist in resolving queries with regional compliance teams
- Assist with ongoing review of relevant processes and procedures to ensure best practice
- Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership
- Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements.
- Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
Company Profile Invesco Ltd. is an American independent investment management company that is headquartered in Atlanta, Georgia, with additional branch offices in 20 countries. Its common stock is a constituent of the S&P 500 and trades on the New York stock exchange.