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About the Role
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.
Responsibilities
- 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
Requirements
- 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
- 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
Skills
- Investment compliance monitoring
- Investment management processes
- Portfolio construction
- Trading activity
- Asset management industry
- Regulatory environment
- Investment products and strategies
- APAC region
- Regulated retail funds
- MPF
- UCITS
- Index-tracking strategies
- Segregated mandates
- Alternative investments
- Regulatory frameworks
- Investment restrictions
- Aladdin
- CRIMS (CRD)
- Charles River
- Bloomberg
- Japanese language capability
- Attention to detail
- Analytical judgment
- Written communication
- Verbal communication
- Task management
- Prioritization
- Proactive approach
- Collaborative approach
- Control framework operation
- Relationship building
Location
- Designated office
Work Type
- Hybrid work schedule
- Employee
- Full time
Experience Level
- 2 to 4 years of relevant experience
Benefits
- Generous annual leave plus flexible paid time off
- Learning and development programs
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan (if applicable in your region)
About the Company
- 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.
Equal Opportunity
- 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.