Senior Compliance Officer

About Invesco

As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for ourclients. 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, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.

What's in it for you?

Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:

• Generous annual leave plus flexible paid time off

• Hybrid work schedule

• Learning and development programs

• Health & wellbeing benefits

• Parental Leave benefits

• Employee stock purchase plan (if applicable in your region)

Job Description

< Regulatory Compliance Advisory>

· Provide expert advice on compliance with relevant laws, rules, and regulatory guidelines.

· Interpret and apply regulatory requirements to business operations.

· Oversee the business activities being compliance with applicable regulations (e.g., FIEA, Real Estate Brokerage Act, Real Estate Investment Advisory Business regulations, FSA supervisory guidelines, Financial Instruments Firms Association rules).

< Regulatory Filings & Regulator Relations>

· Serve as the primary point of contact for regulatory authorities (e.g., FSA, MLIT, Financial Instruments Firms Associations).

· Prepare and submit required regulatory filings and notifications (registrations, amendments, periodic reporting, supervisory submissions).

· Coordinate responses to regulatory inquiries, inspections (on-site/off-site), data requests, and remedial action plans.

< Governance & frameworks>

· Collaborate with APAC Private Markets Compliance to design, implement, and monitor compliance programs, policies, and practices for APAC IPM business.

· Collaborates with Invesco’s functional compliance teams on marketing, anti-money laundering, personal conflict of interest (Code of Ethics, etc.), and regulatory reporting matters.

· Support the firm’s broader risk management and internal control frameworks.

· Operate, coordinate and participate in local business and compliance committees and governance forums, ensuring appropriate documentation, reporting and escalation.

· Provide compliance reporting to senior management, the Board, and relevant committees and governance forums.

· Reports on a regular basis to the Head of Compliance, Japan, and the Head of Central Compliance, APAC on the progress of implementation of the compliance program.

<Policies & Controls>

· Ensure internal policies & controls are designed, developed, implemented in line with the regulatory requirements and group global policy frameworks, and maintain compliance manuals, procedures, and internal controls.

<Marketing Compliance>

· Review marketing materials and public communications to ensure fairness, accuracy, balance, and regulatory compliance; maintain approval records.

· Oversee solicitation practices, suitability/appropriateness checks, and complaint-handling processes.

<Conflicts of Interest & Related-Party Transactions>

· Identify, document, and mitigate conflicts of interest involving the asset manager, affiliates, and investors.

· Oversee related-party transactions to ensure arm’s-length execution and appropriate procedural governance.

<Training & Awareness>

· Deliver compliance training, including onboarding programs and periodic refresher sessions.

· Provide specialized training on compliance requirements and internal procedures as needed.

<Code of Conduct, Code of Ethics, Internal Policies & Culture>

· Oversee adherence to the Company’s Code of Conduct and Code of Ethics.

· Support Global Ethics Office to manage frameworks for conflicts of interest, MNPI/insider information, information barriers, personal account dealings, and gifts & entertainment.

· Support senior management in promoting a culture of ethical conduct, integrity, and accountability.

<AML/CFT & Sanctions>

· Support AML/FC team to operate and maintain a risk-based AML/CFT program in accordance with applicable laws and best practices.

· Oversee sanctions compliance and escalate issues as necessary.

<Provides support on any ad-hoc activities / projects directed by head of Compliance, Japan, and the Head of Central Compliance, APAC.>

Ø Minimum 10 years of regulatory compliance advisory experience within the Financial Services / Asset Management industry required.

Ø Experience with alternative investment products, including real estate and private credits: Over 10 years is strongly preferred.

Ø Strong knowledge of the financial services industry and relevant laws, regulations and regulatory expectations relevant to alternative investment businesses in Japan.

Ø Strong written and verbal communication skills in English.

Ø Korean regulatory knowledge and Korean language are an advantage.

Ø Self-motivated who is willing to explore improvement opportunities.

Ø Highly organized with strong attention to detail.

Ø High integrity and excellent work ethics.

Ø Training and Coaching Skills are a plus.

Ø Strong relationship-building and stakeholder management skills with business managers and technical teams

Ø Strong organizational skills and capable of independently handling multiple projects to completion

Ø Ability to critically think and propose solutions reasonably designed to address identified matters.

Ø Ability to work independently and as part of a team.

Ø Ability to work proficiently in a pressured environment, handle confidential information, and communicate clearly at a wide range of levels on sensitive matters.

Ø Ability to work in a technology-focused and fast paced environment.

Qualification (ARES Certified Master (ACM), Real Estate Transaction Specialist (RETS) are an advantage.

Full Time / Part Time

Worker Type

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 peoplepractices. 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.