Manager, Immigration Programs – Compliance
GEICO
Senior Manager, Regulatory Advisory Compliance
T. Rowe Price
full-time
Posted on:
Location Type: Hybrid
Location: Owings Mills • Colorado, Maryland • 🇺🇸 United States
Visit company websiteSalary
💰 $108,000 - $184,000 per year
Job Level
Senior
About the role
- Works with a high degree of independence and is responsible for ensuring the firm’s compliance with FINRA, SEC, MSRB and State rules and laws.
- Advises internal clients on considerations and resolutions of compliance issues using experience, rule interpretation skills, and sound judgement from a risk perspective.
- Ensures compliance policies and procedures adhere to requirements by leading projects to improve or implement compliance processes/programs.
- Provides specialized, expert legal counsel and effective solutions for multiple business units across the firm.
- Develop and implement compliance vision and strategy in conjunction with the Chief Compliance Officer.
- Monitor ongoing legal and regulatory developments.
- Design and lead efforts to implement new compliance initiatives as law, compliance and business circumstances evolve.
- Manage responses to requests for information and examinations by regulatory organizations.
- Utilizes expert knowledge of regulatory requirements and experience to assess controls and identify risk priorities in consultation with Chief Compliance Officer.
- In consultation with the Chief Compliance Officer and others within the Legal and Compliance Group, recognizes current industry compliance issues and leads efforts to research, access impact on T. Rowe Price, develop remediation plan and ensure implementation of plan.
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- FINRA Series 7 and Series 24 registrations, Series 24 may be obtained within the first 6 months of hire if not currently held
- Strong knowledge of broker/dealer regulatory requirements including FINRA, SEC, MSRB and state rules and regulations
- In depth knowledge and understanding of broker/dealer activities such as distribution of mutual funds, exchange traded funds, private placement agent activities, dealer/manager of business development company, and introducing broker/dealer for individual brokerage customers
- Demonstrated ability to establish yourself as a trusted advisor to colleagues at all levels of seniority
- Excellent effective communication, judgement, decision making and negotiation skills
- Demonstrated ability to influence senior leadership and peers
- Demonstrated ability to prioritize work in a fast-paced collaborative environment
- Demonstrated ability to lead implementation efforts of regulatory change or initiatives across the firm within varying business units
- Demonstrated ability to interpret, establish reasonable policies and procedures and implement laws and regulations
Benefits
- Competitive compensation
- Annual bonus eligibility
- A generous retirement plan
- Hybrid work schedule
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance policiesregulatory requirementsrisk assessmentregulatory change implementationbroker/dealer activitiesmutual fundsexchange traded fundsprivate placement agent activitiesdecision makingnegotiation
Soft skills
trusted advisoreffective communicationjudgementinfluenceprioritizationcollaborationleadershipproblem solvingadaptabilitystrategic thinking
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 24
