Avp - Compliance

2 months ago

Mumbai Maharashtra, India Invesco Full time

As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. 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, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day

Job Description

Core Responsibilities
- Support in implementation of Personal Trading Policy / Prohibition of Insider Trading Regulations.
- Providing advice and support to the business including senior stakeholders on new business developments, regulatory changes / developments, compliance matters, industry trends on compliance matters etc.
- Handling compliance matters viz. offer documents / KIM, scheme launch, listing of schemes, vetting of marketing materials, review of HY financials and portfolios, Trustee report to unit holders, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features, appointment of directors / key persons, merger / winding up of schemes / changes in fundamental attributes, responses to due diligences preparing comprehensive checklist for various regulatory activities.
- Regulatory reporting to SEBI / AMFI (e.g. MCR, NSR, CTR, HYTR & other reports as may be specified by SEBI from time to time.), Reporting to AMC & Trustee Boards, senior (global) leadership of Invesco.
- Regulatory change management i.e. keeping track of regulatory changes, analysis of circulars / notifications, impact analysis & tracking of implementations at IAMI, tracking orders issued by SEBI, SAT & Courts, informal guidance, & preparing impact / action points for IAMI.
- Providing guidance to internal / external stakeholders on regulatory & compliance matters.
- Liase with Internal & Statutory Auditors for data requirements, responding to observations / queries as a first level contact, support in managing regulatory inspections.
- Review / draft manuals / policies including manuals related to investment function i.e. Equity / Fixed Income Manual, Trade Allocation, Stress Testing, Polling Policy, IST, Best execution, voice recording, dealing room controls etc.
- Implementing Personal Trading Personal Trading and PIT Guidelines

Support / Manage Other Compliance Activities
- AML Framework i.e. policies around PMLA, KYC, STR, processes around client due diligence, analysis of alerts, training of employees on AML matters, tracking regulatory / industry developments around AML matters & implementing the same at IAMI, liasioning with IVZ global AML team, Running STR Committee meetings, minutes, paperwork, whitelisting of investors, review of processes for checking of watchlist, UNSCR / MHA List etc.
- Liasioning with compliance teams of Invesco entities in other location for data / knowledge sharing, global trends in compliance matters, reports to be submitted to Invesco globally.
- Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.
- Other compliance matters as may be delegated from time to time.
- Support activities related to JV transitions, especially moving some process in-house from Invesco global team to IAMI Compliance.
- Principal / Core Accountabilities
- PA Dealing implementation.
- Regulatory compliances / reporting for MFs
- regulatory change management
- Process improvements & automation.

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

No

Workplace Model

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least four days a week, with two days working outside an Invesco office.

Why Invesco

In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally.

We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).

What’s in it for you?

As an organization we support personal needs, diverse backgrounds a

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