Sr Analyst, Invstmt Compliance

T. Rowe Price
Baltimore, MD
Sep 14, 2020
Sep 19, 2020
Analyst, IT, QA Engineer
Full Time
A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.PRIMARY PURPOSE OF THE POSITIONLeads initiatives and projects designed to optimize core business processes within Investment Compliance. Uses technical expertise, sound business judgment, project management experience, and in-depth knowledge of investment compliance to identify and implement improvements resulting in organizational efficiency and effectiveness. Leads the resolution of complex compliance issues, evaluates and implements new business / regulatory requirements, and manages special project requests from business partners. Works with minimal supervision to accomplish objectives and priorities set by the Investment Compliance management team.PRINCIPAL RESPONSIBILITIESBusiness Process ImprovementResponsible for analyzing business issues, opportunities, and enhancements and implementing solutions resulting in improved organizational efficiency and effectiveness.Independently leads moderate to complex projects, including oversight, implementation, and post-implementation. Prepares necessary documentation (procedures, training materials, etc.), trains team members, and leads the adoption of new processes, workflows, etc. within the organization.Works on multiple projects at one time. Projects will span days, weeks or months and involve coordination internally or with other business units. Results may impact the Investment Compliance department, key customer groups (Investment Staff, Global Trading), other operational groups, and/or external clients.Project ManagementGathers and analyzes business requirements for assigned projects. Performs necessary investigation, analysis and evaluation, develops proposals and business requirements, and makes recommendations to Managers and business partners based on findings.Utilizes effective project management tools, including project documentation and business requirements. Manages the expectations of sponsors and key stakeholders through effective communications. Continually updates impacted parties on progress or issues to ensure deadlines and expectations are met.Problem ResolutionProvides ongoing support to the Investment Compliance department and its key customer groups from a business process/issue troubleshooting perspective.Uses in-depth knowledge of investment compliance, security types, investment strategies, the trading process, and the trading/compliance systems to assist team members in integrating new work/services, solving complex problems, and responding to regulatory changes and special project requests from business partners.Building RelationshipsResponsible for using sound business judgment, technical knowledge and project management experience in order to navigate business lines, exercising influence and persuasion where appropriate.Fosters deep relationships with Investment Compliance managers and team members, and works with all levels of the organization and across business units in order to successfully complete projects on time and with desired results.Strives to clearly understand needs, collaborate, communicate expectations, and to build consensus throughout projects/initiatives and to proactively identify future solutions and opportunities for improvements.QUALIFICATIONSPreferredBachelor degree in a related field (eg accounting, finance, etc.)5+ years of work experience in investment compliance or related fieldIn-depth investment/securities knowledgeProven project management skills; prior experience leading business projectsWorking knowledge of domestic and international securities lawExperience with compliance and/or trading systems, preferably Charles RiverRequiredBachelor degree and 2 years related work experience, or Associate degree and 4 years related work experience, or High School diploma/equivalent and 6 years related work experienceJob Family: ComplianceTrack: Knowledge ManagementLevel: KM3T. 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 Jobble