Compliance Executive – Monitoring recruitment

Invesco are one of the UK's largest independent investment management organisations. We are a global organisation with offices in over 20 countries and over 7000 employees around the world.

We like to think our employees are best in class and we focus on rewarding employees on merit. The expectations are high but in return we put a great deal of effort into creating a first-class working environment. We consider that by working together we can achieve more. We treat one another with respect and value a collaborative environment. We welcome the different ideas, perspectives and expertise our employees bring to the company.

The role requires you to carry out compliance monitoring and provide advice to the business on sound business practice.

Job Description

• Compliance Monitoring.  Undertaking compliance monitoring reviews (to include planning, fieldwork and report production) in London, Henley, overseas offices and at third parties as required to ensure company functions are adhering to company policies, procedures and regulatory requirements
• To supervise/mentor as required less experienced members of the monitoring team
• To Identify and monitor compliance risk areas in the business and to initiate corrective action for avoidance of future breaches
• To undertake ad hoc work/projects as determined by the Senior Compliance Executive, Head of Monitoring and/or Director of European Compliance, including providing cover for PA Dealing and Pre Trade Investment Restrictions
• To be proactive in improving and refining the Compliance monitoring function.

Skills Required for role

• An accounting/audit or financial services background with a minimum several years’ exposure to auditing/Compliance monitoring in the industry
• Experience and exposure to operational risk management procedures and processes
• A good understanding of the FSA regulations, especially Conduct of Business Sourcebook rules
• A good understanding of the technical nature of the business
• Graduate
• A professional qualification is desirable but not essential
• Effective time management skills
• Excellent interpersonal skills
• Highly organised
• Ability to work under pressure
• Excellent team player
• To confidently and competently challenge the status quo/Senior Management where process improvements/new controls have been identified