Senior Compliance Officer

About The Role

Executes compliance review of communications to ensure adherence to regulatory requirements as well as Invesco goals and standards.  High level of technical expertise and subject matter expert on the execution of compliance review of financial promotions. Builds and maintains strong working relationship with key business stakeholders to ensure sound business practice and compliance with regulatory rules and principles specifically on Marketing, Financial Promotions and distribution/product matters.

Skills & Experience

• Responsible for the day-to-day review and approval of financial promotions

• Providing compliance advice and support to the business and management

• Managing the workload for the specialist areas of the business appointed to them

• Interacting with members of the core compliance services team to assess, document, monitor, report, develop, coordinate, and implement various improvements to compliance marketing activities

• Leading project team(s) in the development and implementation of strategic projects related to compliance

• Research issues, projects or initiatives and advise team members, the wider compliance department, the business

• Independently evaluate situations, make decisions and solve problems. Escalate issues to management if needed

• Overseeing & supporting other team members

• Examining rule changes and discussing implications with the UK marketing compliance team, and the wider business

• Producing and updating marketing compliance policies and procedures at the direction of the Compliance Manager

Skills & Experience

• Minimum 5 years’ compliance experience, desired

• Detailed knowledge of financial products and services, essential

• Highly experienced in the review of financial promotions and provision of distribution advice, essential

• Experience and exposure to operational risk management procedures and processes, desired

• Excellent understanding of the FCA conduct of business rules, essential

Additional Requirements

• PC literate, essential

• Project Management, desired

• Effective time management skills, essential

• Ability to work under pressure, essential

• Highly organized, essential

• Good communication skills, desired

• Open minded, flexible, and willing to listen for other people’s opinions, essential

Education & Qualifications

• Graduate

• A professional qualification is desirable but not essential

• Language skills desirable

Person Specification

• Passion for excellence through strong execution

• Collaborates and builds trusting relationships

• Communicates effectively and respectfully

• Promotes innovative and continuous improvement

• Thinks ahead and makes fact based decisions

Ref: | Published: 02 May 2018