T. Rowe Price
Monitoring and Testing Compliance Officer - 12 months Fixed Term Contract
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Compliance Manager - Global Compliance Monitoring & Testing
At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident.
We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.
Join us for the opportunity to grow and make a difference in ways that matter to you.
Our team is seeking a Compliance Manager to join the Global Compliance Monitoring & Testing team to execute T. Rowe Price’s EMEA Compliance monitoring and testing program. You will be responsible for performing monitoring and testing to demonstrate compliance with applicable laws and regulations. This will involve partnering with Compliance members, consulting with other assurance functions and business partners to identify compliance risks and proactively evaluate compliance controls. The ideal candidate will possess and demonstrate knowledge and experience with the regulations and multiple disciplines involved in the operations of an investment management firm. This is a great opportunity for you to be an integral part of a global team, apply your compliance knowledge to help mitigate compliance risk and have a positive impact on the department and an expanding business.
Principal Responsibilities
- Undertaking monitoring and surveillance in line with the Global Compliance Monitoring and Testing Programme. This includes but is not limited to:
- Performing comprehensive monitoring and testing of processes to ensure that regulatory requirements applicable to TRPIL and its’ subsidiaries are being satisfied, including in areas such as market abuse, best execution, ESG, CASS and Marketing Materials.
- Performing thematic reviews based on key regulatory issues or best practice in the industry.
- Ensuring investigation and resolution of identified issues are closed out in a timely manner.
- Monitoring of unresolved issues as appropriate.
- Escalation of significant issues and reporting summary findings to EMEA Compliance Advisory and EMEA CCO.
- Identify and offer recommendations resulting from testing and collaborate with business partners to assist in developing remediation plans to ensure the areas of concern are addressed in a timely manner.
- Document test work and draft reports describing testing performed and results.
- Track the status of outstanding findings and work with business partners to obtain updates, ensure due dates are met, and confirm remediation.
- Build and maintain strong relationships with business partners and Compliance leaders, to maintain engagement and to assist in escalating significant compliance testing matters that require attention or action.
- Assist in preparing management reports on EMEA Compliance’s monitoring and testing activities.
- Maintain and develop knowledge of current and upcoming regulations, to ensure that monitoring and testing activities remain relevant.
- Responsible for assisting in advancing the EMEA Compliance Monitoring and Testing Programme in support of Global Compliance Monitoring and Testing Frameworks. This includes but is not limited to:
- Conduct ongoing reviews and development of risk-based thematic and monitoring reviews to ensure they cover all regulators and regulations relevant to the firm’s business and to improve and develop the methodologies.
- Collaboration with Global Compliance, Internal Audit and Enterprise Risk sharing ideas in order to develop, where appropriate, testing consistency or to coordinate testing activities.
- Apply data analytic techniques to perform monitoring and testing to increase scale and depth of analysis, create impactful visualisations, and explore potential data relationships.
- Participate in the development of requirements and assist in implementation of automated tools to innovate and enrich compliance monitoring and testing activities for Global Compliance.
- Identify opportunities to scale and promote efficiencies and consistency in monitoring and testing activities across regions.
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Qualifications & Skills
Required:
- Undergraduate Degree or equivalent
- Prior compliance monitoring and testing or audit experience
- Extensive working knowledge of compliance within the asset management industry
- Knowledge of FCA regulatory framework
- Strong verbal and written communication skills; presents ideas clearly, concisely, and persuasively, tailoring message and delivery to different audiences, including ability to present complex concepts into understandable and actionable points
- Team player with excellent interpersonal skills who is able to build working relationships and influence a diverse group of internal and external contacts
- Uses a variety of resources, best practices, and proven tools to generate innovative ideas to improve processes
- Accountable for work of self and sometimes others, provides process and standards advice
- Strong organization and prioritisation skills while executing multiple priorities simultaneously, accurately, and timely
- Solid attention to detail, strong problem solving, analytical, organization, coordination, and creative and critical thinking skills
- Project management capabilities
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Preferred:
- Familiarity with the regulatory and legal requirements of the other jurisdictions (Luxemburg, Hong Kong, Japan and Singapore)
- Good product knowledge – UCITS products, SICAV, OEIC and separate account services.
This role is eligible for hybrid work, with up to one day a week from home.
Commitment to Diversity, Equity, and Inclusion:
At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all.
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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