Hybrid Senior Manager, Regulatory Advisory and Compliance

Posted last week

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About the role

  • 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

Senior Manager, Regulatory Advisory and Compliance

Job type

Experience level

Senior

Salary

$108,000 - $184,000 per year

Degree requirement

Bachelor's Degree

Location requirements

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