T. Rowe Price Compliance Officer- Investments/Trading in Baltimore, Maryland
Our mission as a leading investment management firm is to help our clients achieve their long-term financial goals. We believe our associates are the key to this mission and we are always looking for talented individuals who share our commitment to our client’s success.If you’re looking for challenging work experiences and the ability to learn in a collaborative culture, we invite you to explore the opportunities available at T. Rowe Price.
PRIMARY PURPOSE OF THE POSITION
The Global Investments Compliance Officer is the point of contact for the overall compliance program for the business leaders of Global Equity, Global Fixed Income and Global Trading (“Investments”). The incumbent will lead Investments’ efforts to improve compliance processes/programs across the globe and responsible for satisfying the global compliance needs for Investments. This will include ensuring resources are appropriately aligned to resolve a variety of complex issues and proactive initiatives. The Investments Compliance Officer will manage these demands and overall delivery within a matrix structure; providing global coordination of compliance activities while ensuring local accountability. While ultimate responsibility for compliance will reside within the three business units, this position works as a strategic compliance partner for Investments management to ensure sufficiency of the overall compliance program.
Compliance Programs – Provides support to Investments at all global locations by proactively coordinating the strategic development, maintenance and continued enhancement of their compliance programs; problem solving; and providing guidance. Position works with Investments management to identify areas of compliance program improvement and problem resolution. This role will anticipate and identify Investments’ compliance needs and collaborate with internal customers on improvement opportunities. Investments Compliance Officer will define KPIs and measures to drive overall performance and health of the business unit compliance program. Delivery of compliance programs may include development and review of policies and procedures as well as monitoring of compliance metrics and execution of compliance activities. Works actively with subject matter attorneys and Investment Advisor CCOs to enhance knowledge of Investment operational activities and compliance risks. As new regulatory rules are passed and existing rules continue to evolve, the Investment Compliance Officer works with appropriate attorneys, FWC and International Compliance to research and understand the rules, as well as help determine or develop recommendations with regard to the impact to the Investments business units.
Investments Specific Compliance Projects – This position participates, and at times acts as the lead, on projects driven by the needs of Investments or the CCOs. Projects will be focused on Investments units to support their strategic compliance objectives. The position will coordinate resources from the Compliance Departments, Investments, Legal and outside parties to accomplish project goals and manage the project team. Examples would include coordinating and conducting due diligence of third party providers such as expert network providers, market data services, alternative data and political intelligence providers. Further, position will proactively monitor new product development and entry into new markets to evaluate the impact to the Compliance Program.
Governance and Assurance Support– Work with various governance and assurance groups throughout the firm including Enterprise Risk Management, Internal Audit, Vendor Management Office and Business Continuity to support their efforts and help to satisfy the requests that they make upon the Investments teams. The Investments Compliance Officer will anticipate plans and translate current and future needs into specific actions plans in partnership with regional compliance leaders. This may include helping to respond to client issues and regulatory inquiries related to Investments.
Industry Issues –In consultation with Legal team, recognize current industry compliance issues and research and analyze impact on T. Rowe Price and Investments. Provide thought leadership to drive continuous improvement and transformation efforts related to the dynamic compliance needs of Investments. Communicate relevant information to Investments management which requires sound understanding of the differences between Equity, FI and Trading and an appreciation of different issues by location.
Bachelor’s degree with 10+ years experience in compliance, legal, or related field
Advanced degree preferred (i.e. MBA, JD)
Equity, fixed income and/or trading experience
Understanding of rules and regulations related to trading and investments
Knowledge of Equity, Fixed Income and/or Global Trading at an Investment Management firm
Excellent interpersonal skills, to include strong influence skills, in interacting with a diverse group of contacts
Project management capabilities
Aptitude for technology related to investments and trading
Ability to develop and maintain good working relationships with members of various business units, regulatory agencies and other external contacts
Ability to draft complex documents
Demonstrates willingness to assist others within the group to accomplish common objectives
Strong creative thinking and problem solving skills
College degree or equivalent qualifications and 10+ years related work experience
T. Rowe Price is an Equal Opportunity EmployerT. Rowe Price is an asset management firm focused on delivering global investment management excellence and retirement services that investors can rely on–now, and over the long term.