Compliance Officer with focus on AML and compliance tasks at Schulz & Cie. Consulting. Conducting audits, transaction monitoring, and managing regulatory issues in financial services.
About the role
- Senior compliance manager leading compliance programs for T. Rowe Price mutual funds. Advises business units, manages regulatory reporting, and implements risk-based controls.
Responsibilities
- 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
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