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T. Rowe Price · 2 hours ago

Sr. Manager, Regulatory Advisory Compliance

Owings Mills, MD

Full-time

Hybrid

Senior Level, Lead/Staff

$138K/yr - $236K/yr

8+ years exp

T. Rowe Price is a premier global asset management organization with over 85 years of experience, providing investment solutions to a diverse clientele. The role involves partnering with internal clients to implement strategic compliance initiatives, enhancing compliance processes, and managing compliance reporting for various regulatory requirements.

Business DevelopmentFinanceFinancial ExchangesFinancial Services

Responsibilities

Advises clients in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs. Applies in-depth knowledge to prepare relevant analyses and provide recommendations

Provides strategic consulting to the senior managers responsible for business unit compliance. Works with the business unit to identify areas of program improvement, problem resolution, and follow-ups as needed. Provides customized work plans, documentation templates, and detailed compliance risk assessments. Collaboratively develops the strategic direction for certain business unit’s compliance programs and provides guidance with respect to the daily operations of the compliance function. Ensures all internal clients have a fully compliant and up-to-date program in place

Manages projects from a compliance perspective that span months and quarters (sometimes years); manages to budget, collaborates with project leaders in other business units, and is responsible for ensuring a positive outcome

Advises on the testing of policies and procedures for certain business units at the firm. Makes recommendations on when risk-based tests are necessary; informs impacted business units about issues; prioritizes risk and exposure areas; helps business units to identify and develop solutions

Assists external regulatory reviews and provides information to the consultants who perform the regulatory reviews. Reviews procedures and policies to ensure compliance

Provides support to senior leadership. Meets with clients and in place of senior managers if required to discuss compliance at T. Rowe Price and to answer client questions. Participates in panels in the area of compliance testing. Attends industry conferences to broaden insights into regulatory and compliance requirements

Responsible for drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and overseeing monthly and quarterly compliance reporting to clients

Qualification

Investment Company Act knowledgeAdviser Act knowledgeMutual Fund complianceData analysisMicrosoft Suite proficiencyCritical thinkingProblem solvingWritten communicationVerbal communicationOrganizational skillsAdaptability