Skip to main content

This job has expired

Risk & Compliance Lead - Global Investment Operations

Employer
T.Rowe Price
Location
Parkville, MD
Closing date
Sep 20, 2021
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 positionThe GIO - Risk and Compliance Lead develops and manages the strategic operational risk management program for Global Investment Operations (GIO) to ensure that sound practices and procedures are in place across all GIO locations and processes globally to manage operational risk. This position leads, directs and consults with business managers throughout GIO and Enterprise Risk regarding the planning, implementation, and monitoring of compliance and risk management requirements identified by Senior management, Firm-wide Compliance, Legal, Internal Audit, Product Management, and Enterprise Risk.The position uses business experience and judgment to implement compliance and risk management initiatives to continuously enhance the compliance and risk management program. The position manages a variety complex issues and requests and acts as the liaison to Legal & Firm-wide Compliance, auditors, and regulators to mitigate compliance/risk-related concerns. Additional areas of focus include incident management and reporting, business continuity, data privacy, and access controls. The GIO Risk and Compliance Lead will manage a small team.Are you interested in learning more about this opportunity? If so, we encourage you to apply!Role SummaryResponsible for the coordination of the enterprise risk management framework within Global Investment Operations. Identifies and recommends new or enhanced policies, practices, and procedures. Partners with business to establish risk assessment plans and facilitates and coordinates the analysis and reporting summaries of business errors.ResponsibilitiesAssists the assigned business line with the identification, assessment, and mitigation of risks and helps to identify and implement controls to manage emerging issues. Monitors compliance and assigns routine monitoring responsibilities through less experienced managers. Develops a variety of complex assessment reports and delivers these to management with resolution or mitigation alternatives.Reports incidents as needed that need to be reviewed by committees. Contributes to the discussions at these risk committees to validate root cause and ensure that effective mitigation efforts are implemented moving forward.Works with the business line to identify and document risks and mitigation actions around accepting new business in unusual circumstances.Ensures business process and product changes are completed appropriately. Recommends modifications to decrease risks inherent to the process or product changeContributes to efforts to develop a strong organizational risk culture and further develop the function's effectiveness as a second line of defense for the business or legal entityTypical QualificationsBachelor's degree or the equivalent combination of education and relevant experience AND8+ years of total relevant work experiencePreferred QualificationsAdvanced degree or professional designationPrior Investment Operations or Operational Risk experience at a large asset managerStrong influencing skillsPrior experience with new product or capability development and implementation, process improvement, change managementFINRA licenses are not required and will not be supported for this role.FINRA licenses are not required and will not be supported for this role.Job Family Group: Risk ManagementJob Family: Business and Risk ManagementTrack/Level: KM 4T. 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.Job InfoType: Full timeLocation: Baltimore, MD

Get job alerts

Create a job alert and receive personalized job recommendations straight to your inbox.

Create alert