A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives. We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job. If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.
POSITION PURPOSE
The primary purpose of a Compliance Manager is to support the Head of EMEA Compliance in the effort to ensure that the international operations of T. Rowe Price comply with relevant legislation and regulation. The existence of this position reflects the complex and dynamic multi-jurisdictional regulatory environment in which TRPIL and its affiliates operate.
The associate will be required to work collaboratively with both the EMEA and global compliance teams to meet regulatory and firmwide objectives . The individual will be the first point of contact for our UK Product and CASS teams so will be required to have amongst more generalist compliance knowledge, detailed knowledge of product governance, CASS and COLL rules. The individuals knowledge and skill will be required to develop in line with the growth of the TRP's activities/products.
Principal Responsibilities
- Provides strategic consulting to the senior managers responsible for business unit compliance, specifically responsible for UK Product, ESG, CASS and COLL but will provide assistance and guidance more broadly to other compliance managers in supporting other business units.
- 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 each business unit's compliance programs and manages 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, manages project leaders in other business units, and is responsible for ensuring a positive outcome.
- Plans and manages the testing of policies and procedures for multiple 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.
- Will be required to undertake strategic initiatives on behalf of compliance working with other business units as appropriate
- Will be the point person responsible for the review of FCA product notifications/submissions
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS
Required:
- Bachelor's degree or the equivalent combination of education and relevant experience
- Proven relevant work experience
- Knowledge of FCA regulatory framework with direct relevant experience.
- Good product knowledge - US mutual funds, UCITS products and separate account strategies.
- Good understanding of ESG requirements
- Excellent interpersonal and influencing skills.
- Able to work under pressure and produce results without close supervision.
- Ability to handle heavy workload under tight timeframes and prioritize appropriately
- Good verbal and written presentational skills
- Attention to detail
- A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
- Analytical skills allied with creative thinking
- Project management capabilities.
- Working knowledge of compliance within the investment industry
Preferred:
- Familiarity with the regulatory and legal requirements of the other key jurisdictions.
- Experience in the asset management industry.
T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law. |
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