Manager, Private Markets Compliance, APAC

Description

Who we are :

With over $1.9 trillion of assets under management, Invesco is one of the world’s leading global investment management firms, headquartered in Atlanta, GA. Spreading across 26 countries and with over 8400 dedicated employees, we are driven by trust and care. As one of the world’s leading asset managers, we are solely dedicated to delivering an investment experience that helps people get more out of life. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, explore your potential at Invesco.

Your Role :

The Manager, Private Markets Compliance, APAC, reports to the Head of Central Compliance, APAC. As part of this position, the incumbent is responsible for supporting Invesco’s Private Markets, including Invesco Real Estate (“IRE”) and Private Credits businesses in APAC, in collaboration with colleagues on Chief Compliance Officers’ (“CCO”) teams, functional compliance teams, as well as other Invesco group compliance teams in response to regional / global compliance requests.

The position is primarily responsible for the day-to-day implementation of Private Markets’ overall compliance program and designing and augmenting the program with the aim to ensure compliance with pertinent legal, regulatory, and policy requirements in APAC. Specific responsibilities include, but are not limited to : establishing, reviewing and maintaining compliance policies and procedures; working with internal and external legal staff to resolve compliance issues and review third-party disclosures about Private Markets’ products (offering documents, RFPs, regulatory disclosures, etc.); working with investment and sales staff, along with the Marketing Compliance function regarding product development, marketing, and investor matters; and managing, executing, and updating the monitoring and testing program for Private Markets.

The position is expected to review and interpret relevant laws, coordinate cross-border compliance matters from time to time, and monitor the day-to-day implementation of policies and procedures. The position will also take responsibility for reviewing potential conflicts within the firm and liaising with the business to resolve any real or perceived conflicts of interest. Conducting compliance training is expected to be part of the role.

As noted above, responsibilities may also include work supporting broader Private Markets matters, including various compliance matters for IRE and Private Credits, as needed from time to time.

Key Responsibilities / Duties :

• Designs, implements, and monitors programs, policies, and practices for compliance with regulatory and policy requirements by the relevant business areas.
• Collaborates with Invesco’s functional compliance teams on marketing, anti-money laundering, personal conflict of interest (Code of Ethics, etc.), and regulatory reporting matters.
• Reports on a regular basis to the Head of Central Compliance, APAC, CCO teams and business senior management on the progress of implementation and assists those teams in practically implementing the compliance program.
• Periodically revises the program in light of changes in the needs of the business, including the broader Private Markets platform, and in the law and policies and procedures.
• Develops, coordinates, and participates in a multifaceted educational and training program that focuses on the elements of the compliance program.
• Coordinates responses to investor, adviser-sub-adviser, internal stakeholder, and regulatory requests and / or reporting (including Form ADV).
• Coordinates internal risk assessment, monitoring, and testing program and works with business partners to address findings and observations.
• Independently investigates and acts on matters related to compliance (e.g., responding to incidents) and coordinates any resulting corrective actions.
• Coordinates with Invesco’s internal audit department to identify potential controls to audit and assists that team in their review efforts, as needed.
• Undertakes special compliance-related projects assigned by the Head of Central Compliance, APAC, and other senior compliance personnel.
• Provides support on any ad-hoc activities directed by the Head of Central Compliance, APAC.

Position Qualifications :

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).

Our benefit policy includes but not limited to :

Hybrid work schedule

Learning and development programs

Health & wellbeing benefits

Parental Leave benefits

Employee stock purchase plan

How to Apply :

To know more about us :

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / 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 one day working outside an Invesco office.

Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. 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.

Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.