Lead Manager - Compliance and Risk Management - Remote Work Compliance

T. Rowe Price
Owings Mills, MD
May 12, 2021
May 18, 2021
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.About this positionThis leader will build and manage our Global Distribution Remote Supervision Program (Program) for covered remote associates who are FINRA registered representatives. You'd identify associates subject to the Program and resolve remote office type questions. She or he prioritizes annual remote office inspection schedule and aligning resources to complete inspections by regulatory timelines. She or he maintains and updates inspection questionnaires and documents as needed (ex. based on business changes, regulatory changes, and inspection trends)You'd advise Global Distribution business partners on enhanced supervision policies and procedures. Not to mention, this associate trains new remote managers on supervisory expectations. She or he ensures completion of supervisory attestations for managers of remote associates. This leader also supervises progress towards annual business plan and provide status reporting to key partners**Traveling to different remote locations and or sites is a required part of this opportunity**Role SummaryAdvises internal clients in maintaining and improving their respective compliance programs and leads projects to build efficiency within compliance processes/programs. Applies in-depth knowledge to prepare relevant analyses and recommendations.ResponsibilitiesLeading at least two Compliance Analysts and setting clear priorities and objectives and operating as a strong player coach.Provides sophisticated advice for the senior managers responsible for business unit compliance. Works with assigned internal clients to identify areas of program improvement, problem resolution, and follow-ups as needed. May provide customized work plans, documentation templates, and detailed compliance risk assessments.Acts as the lead on straightforward projects driven by business need or the chief compliance officer (CCO). Projects may be firmwide or impact the Global Distribution the majority of business areas but are limited in risk. Coordinates internal and external resources to accomplish project goals, runs the project team, and follows up on project timelines.Conducts testing of policies and procedures for an assigned business unit. When current policies and procedures do not meet required standards, incumbents will work with business leaders to identify areas of focus, offer recommendations, and lead the follow up to ensure those areas have been addressed in a timely manner.Utilizes expert knowledge of regulatory requirements to inspect, analyze, and review the activities of each home office of the FINRA registered associates broker-dealer. Works under inspection guidance provided by in conjunction with the CCO in inspecting offices and reporting findings to senior management.In consultation with legal team, recognizes current industry compliance issues and research and impact on T. Rowe Price and assigned business areas. Communicates relevant information to various teams, which requires sound understanding of the business functions across the firm.QualificationsRequiredBachelor's degree or the equivalent combination of education and relevant experience5+ years of total relevant work experienceFINRA Series 7 and Series 24 licenses. (Series 24 may be obtained within first 6 months of hire if not currently held)PreferredKnowledge of FINRA, SEC and other Regulatory and Self-Regulatory Organizations rules and regulationsStrong aptitude for technology and operational improvementExcellent interpersonal skills, to include significant influence skills, in interacting with a diverse group of internal contactsProgram/project management skills: establish project plans, deliver assignments on time, and accountable for results within a resource-constrained environmentAbility to draft sophisticated documents for senior business leaders and the Chief Compliance Officer's reviewDemonstrates willingness to assist others within the group to accomplish common objectivesJob Family Group: ComplianceJob Family: Regulatory Advisory ComplianceTrack and Level: KM 3Minimum salary (USD) starts at:83000(Colorado only*) Salary range minimum is one component of our total compensation and benefits package. *Note: Disclosure as required by sb19-085 of the minimum salary compensation for this role when being hired into our offices in Colorado.T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer to see what's available to you.T. 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 law.

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