Compliance Manager – Monitoring

Softcard (acquired by Google)

. Execute and independently lead risk-based compliance reviews in accordance with the annual Compliance Monitoring Plan .

Posted 10/14/2026full-timeUnited StatesMid-LevelSenior💰 $140,000 - $160,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in executing risk-based compliance reviews, assessing compliance risks, and evaluating the effectiveness of controls within the financial services industry. Proficient in leveraging data analytics and technology to enhance compliance monitoring and reporting processes.

Highest-signal resume keywords

Risk-Based Compliance ReviewsFederal Securities LawsCompliance TestingData AnalyticsInvestment Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance MonitoringRisk AssessmentControl EvaluationTesting ProceduresRegulatory RequirementsMarket Abuse AnalysisRemediation ValidationStakeholder InterviewsReporting and PresentationMonitoring Methodologies

Soft Skills

CollaborationCommunicationAnalytical ThinkingProblem Solving

Tools & Technologies

Charles RiverAladdin

Industry Keywords

Investment Advisers ActInvestment Company Act of 1940SEC RequirementsFINRA RequirementsFinancial Services Industry

About the role

Key responsibilities & impact

Execute and independently lead risk-based compliance reviews in accordance with the annual Compliance Monitoring Plan
Plan, scope, conduct stakeholder interviews, perform testing, report findings, and validate remediation
Assess compliance risks and evaluate the design and effectiveness of controls
Document testing procedures, workpapers, and results according to Compliance Monitoring standards
Prepare reports and presentations for senior management and the Funds' Board of Directors
Partner with stakeholders to develop, track, and validate Management Action Plans addressing control weaknesses and compliance risks
Conduct surveillance reviews and analyze ongoing monitoring activities, including market abuse and other compliance-related alerts
Partner with data analytics and technology resources to support compliance testing and surveillance through analytics, automation, monitoring methodologies, and technology-enabled solutions
Monitor regulatory developments and industry trends to identify emerging compliance risks and assess their potential impact on Invesco's businesses and Compliance Monitoring Program

Requirements

What you’ll need

Bachelor's degree in Accounting, Finance, Business Economics or related business field
Minimum 5-7 years of experience in the financial services industry, preferably within the compliance, audit, risk, or control functions of an investment management firm
Strong knowledge of federal securities laws and regulations, including SEC and FINRA requirements
Knowledge of regulatory requirements applicable to registered investment advisers and registered investment companies, including the Investment Advisers Act and Investment Company Act of 1940
Experience evaluating compliance risks, assessing the design and effectiveness of controls, and executing risk-based monitoring and testing activities
Comfortable working with data and leveraging data-driven insights to support compliance testing, monitoring activities, and decision-making
Familiarity with investment management and trading platforms, including compliance monitoring capabilities within systems such as Charles River and/or Aladdin, is a plus
Prior experience with a regulatory agency is a plus

Benefits

Comp & perks

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