Senior Manager executing compliance tests and supporting risk - based programs in investment management at T. Rowe Price. Collaborating with compliance and legal teams to mitigate risks and ensure regulatory adherence.
RI
Hybrid Director, Compliance
Posted 3 months ago
About the role
- Compliance Assurance Director leading regulatory compliance activities at RGA, developing and overseeing assurance programs to assess compliance risks and drive efficiencies.
Responsibilities
- Develop and lead the GEC Assurance Program to examine compliance with regulatory requirements and internal policies/procedures
- Activities include the evaluation and testing of controls, policies, and processes for scalability, effectiveness, and efficiency
- Manage the annual assessment planning process
- Communicate potential program, documentation, or system developments and enhancements to senior management
- Develop and maintain program records and procedures including annual plans, activity inventory, program documentation, reports, and management action plans
- Collaborate with applicable stakeholders to convey the assessment process including impact, ownership, and management action plans for assessment findings
- Coordinate and lead meetings with Internal Audit, Global Legal Services, and Global Risk Services on risk-related topics such as emerging risk and enterprise risk appetite
- Provide technical expertise and support to GEC management and the Assurance Team on various policies, procedures, projects, and regulatory requirements
- Mentor associates within the department and continually develop team competencies
- Maintains current knowledge of industry practices, trends, and applications
- Perform other duties as assigned
Requirements
- Bachelor’s degree or equivalent work experience
- 7+ years of experience in enterprise risk management, operational risk, internal audit, or compliance related risk fields
- Preferred: Post-graduate degree or professional certification in a related field
- Strong understanding of applicable laws, regulations, and requirements impacting financial institutions
- Expert knowledge of compliance risk management concepts, frameworks, methods, and good governance practices
- Highly advanced ability to adapt to a rapidly changing work environment
- Able to prioritize projects and work independently
- Team-oriented with exceptional organizational and interpersonal skills
- Strong analytical, critical thinking, and decision-making skills with excellent written and verbal communication skills
- Exceptional attention to detail
- Expert ability to make timely and effective decisions
- Advanced ability with Microsoft Office applications
- Proven ability to quickly learn and understand the RGA business model
Benefits
- RGA provides an annual bonus plan that includes all roles
- Some positions are eligible for participation in our long-term equity incentive plan
- RGA also maintains a full range of health, retirement, and other employee benefits
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