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About the Role

Responsible for the day-to-day oversight and operational activities specific to the UIT comparison and settlement process. This role oversees a staff that manages daily workflow, ensures regulatory requirements are adhered to, and acts in a supervisory capacity while also completing tasks. It involves establishing and maintaining relationships within various Invesco departments for information flow and regulatory compliance, working closely with the UIT Trading Desk, Accounting, Compliance, and the Business Unit. The position provides trade support and oversight for the Capital Markets desk, oversees corporate actions and pricing, and maintains external relationships with the Trustee, DTCC, NSCC, pricing vendors, outside auditors, and outside legal. The role requires a Series 27 license and is tied to the IVZ broker dealer. A successful candidate will have experience working across functions, setting and driving a strategic agenda, participating in high-profile projects, and achieving positive results through diligent execution, operating at the intersection of capital markets, investments, ETF servicing, post-trade processing, technology, and core services. IVZ will support candidates in obtaining required licensing if they do not currently possess it.

Responsibilities

Oversee all aspects of the UIT comparison and settlement process.
Oversee and ensure proper Net Asset Value calculations from pricing vendors.
Create and maintain metrics for management review.
Oversee the reconciliation of all Broker Dealer Cash activity for posting to the GL.
Review and maintain updated policies and procedures for WSPS.
Oversee, review, and fund all margin account deficits, including hedge accounts and DTCC and NSCC collateral accounts.
Oversee all Broker Dealer working capital and maintain a line of credit with the parent company and a Broker Dealer bank account.
Prepare and submit quarterly Securities Count (Rule 17a-13).
Work closely with UIT trading, Compliance and Accounting teams for issue resolution.
Prepare and submit Customer Reserve (Rule 15c3-3) weekly and at month end.
Provide monthly regulatory report cards from MSRB, TRACE and Oats to Sr. Management, Compliance, IT and the Portfolio trading desks, comparing IVZ results to the industry.
Maintain a One Invesco perspective driving positive and impactful outcomes for the firm.
Engage and maintain relationships with stakeholders across the firm to effectively navigate our global organization.
Develop project objectives with measurable goals, drive consensus and communicate plans and results to stakeholders and management.
Partner with the firm’s leadership to help shape BlackRock’s ETF platform strategy to maximize growth, scale, and consistency.
Design, innovate, and implement ETF operating models, technology solutions and commercial opportunities.

Requirements

Must have strong knowledge of FINRA Rules and SEC regulations and the Investment Company Act of 1940.
The position requires licensing.
Five or more years of operational and securities industry experience.
Working knowledge and experience with DTCC and NSCC.
Supervisory and oversight experience preferred.

Skills

Direct knowledge and experience with UIT Products preferred.

Location

Hybrid work schedule

Work Type

Employee
Full time

Experience Level

Advanced Principal

Salary/Compensations

150,000-170,000 year

Benefits

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 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 U.S. state and federal laws governing non-discrimination in employment.