Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price’s proprietary and subadvised 40 Act products
Advise clients in maintaining and enhancing their respective compliance programs and lead projects to improve compliance processes/programs
Prepare relevant analyses and provide recommendations using in-depth knowledge
Provide strategic consulting to senior managers responsible for business unit compliance
Identify areas of program improvement, problem resolution, and follow-ups
Provide customized work plans, documentation templates, and detailed compliance risk assessments
Develop strategic direction for business unit compliance programs and provide daily operations guidance
Ensure internal clients have fully compliant and up-to-date programs
Manage long-term compliance projects, collaborate with project leaders, and manage to budget
Advise on testing of policies and procedures and recommend risk-based tests
Assist external regulatory reviews and provide information to consultants
Review procedures and policies to ensure compliance
Support senior leadership and meet with clients or in place of senior managers
Draft quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and oversee monthly and quarterly compliance reporting to clients
Participate in industry panels and attend conferences to broaden regulatory insights
Requirements
Bachelor's degree or the equivalent combination of education and relevant experience
8+ years of total relevant work experience
Knowledge and understanding of Investment Company and Adviser Acts
Knowledge of Mutual Fund and ETF compliance regulations, programs and best practices
Ability to analyze and interpret complex data sets
Ability to give guidance to business partners
Adaptability, flexibility and a “can-do” attitude
Comfortable engaging various technologies
Excellent written and verbal communication skills
Superb critical-thinking and problem-solving skills
Advanced analytical, interpretive, and organizational skills
Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.)
Familiarity with Office 365 and associated applications
Understanding of Rule 38a-1 and Rule 206(4)-7 and regulatory reporting requirements
Benefits
Competitive compensation
Annual bonus eligibility (discretionary bonus)
A generous retirement plan
Hybrid work schedule (up to one day per week from home)
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits
Job title
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