Baltimore, MD
There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference.
We are a
premierassetmanagerfocused on delivering global investment management excellence and retirement services that investors can rely on today and in the future.
The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.
ABOUT THIS POSITION
The Analyst, Investment Compliance monitors investment activities as it relates to Guideline and Prospectus requirements.
We are seeking an energetic individual that can communicate effectively to a diverse group of internal clients and thrives in a fast-paced, team environment. You will develop a deep understanding of global compliance
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ROLE SUMMARY
Proactively identifies and manages the risk and compliance requirements to ensure alignment with strategic priorities, regulatory requirements, and client needs. Crafts straightforward risk management and compliance programs based on business requirements and regulatory environment.
RESPONSIBILITIES
- Serves as project lead on medium-sized projects of moderate complexity. Supports specific work streams of larger or more complicated projects. Partners with stakeholders to gather and define requirements, develop timelines, establish milestones, and report on the project status.
- Coordinates activities related to new regulations. Submits recommendations to modify policies and procedures related to internal controls. Communicates these changes to operations teams and assists with updates to processes to strengthen risk management programs.
- Provides managers with information and input on new firmwide policies, guiding them on matters related to implementation and compliance monitors ongoing compliance across all teams. Executes education and training programs for employees whose functions or responsibilities involve compliance with applicable firm policy and regulatory and industry laws.
- Coordinates projects designed to resolve various process issues using knowledge of best practices, systems, policy requirements, and client service needs to implement the development of solutions that improve overall efficiencies.
- Performs vendor due diligence and analyzes vendor services.
TYPICAL QUALIFICATIONS
- Bachelors degree or the equivalent combination of education and relevant experience AND
- 2+ years of total relevant work experience
PREFERRED QUALIFICATIONS
- Knowledge of Charles River Compliance System (CRD) or comparable compliance platform
- Practical understanding of investment security types (i.e stocks, bonds, derivatives)
FINRA Requirements
FINRA licenses are not required and will not be supported for this role.
Work Flexibility
This role is eligible for remote work up to two days a week.
Applicants for employment in the U.S. must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status)
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Commitment to Diversity, Equity,
and
Inclusion
We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients.
Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community.
We know that a sense of belonging is key not only to your success at the firm, but also to your ability
Benefits
We invest in our people through a wide range of programs and benefits, including
- Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions
- Flexible and remote work opportunities
- Health care benefits (medical, dental, vision)
- Tuition assistance
- Wellness programs (fitness reimbursement, Employee Assistance Program)
Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates' well-being and addressing the needs of our clients, business, and communities is unwavering.