Senior Manager, Regulatory Advisory Compliance – Compliance Testing
T. Rowe Price
full-time
Posted on:
Location Type: Hybrid
Location: Owings Mills • Colorado • Maryland • United States
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Salary
💰 $110,000 - $236,000 per year
Job Level
About the role
- Plan, scope, and execute compliance tests within framework standards, applying a risk-based approach to evaluate whether the firm has appropriate policies and procedures, and whether controls are reasonably designed and operating effectively to comply with applicable laws
- Drive strategic thinking around emerging compliance risks to inform testing strategies and plans
- Identify opportunities to scale testing activities and promote efficiency across North America and other regions
- Lead innovative thinking and apply AI and data analytics to enhance testing methodologies, increase scale and depth of analysis, and create impactful visualizations to highlight potential compliance risks
- Build and maintain strong relationships with business partners and Global Compliance leaders, to support engagement and escalate significant compliance testing matters that require attention or action
- Support Global Compliance’s risk assessment process to identify, assess and mitigate compliance risks
- Support the firm’s broker‑dealer internal inspection program, including collaboration with relevant stakeholders and alignment with broader compliance testing activities
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- Significant compliance, regulatory, risk management, or assurance testing experience within a global asset management or investment management organization
- Strong working knowledge of US regulations applicable to T. Rowe Price (e.g., SEC, ERISA, FINRA, NFA, CFTC)
- Demonstrated accountability for self and others to drive deliverables, with a proven ability to collaborate effectively and build strong working relationships with diverse stakeholders
- Excellent verbal and written communication skills, including the ability to clearly articulate complex regulatory and risk issues to stakeholders
- Active FINRA Series 7 and Series 24 licenses are a plus, demonstrating familiarity with broker-dealer regulatory requirements and branch examinations
- Strong analytical, critical thinking, and problem-solving skills, with a high degree of attention to detail while managing multiple priorities
- Proficiency in using data analytics, automation, or technology-enabled approaches to enhance testing
- Familiarity with EMEA and APAC regulations a plus (e.g., FCA, SFC, MAS)
- Strong leadership capability with experience influencing stakeholders and driving outcomes across functions and geographies
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 & Tools
compliance testingrisk managementdata analyticsautomationregulatory complianceanalytical skillsproblem-solvingattention to detailtesting methodologiesbroker-dealer regulatory requirements
Soft Skills
strategic thinkingcollaborationcommunicationrelationship buildingleadershipinfluencingaccountabilitycritical thinkingmulti-taskingengagement
Certifications
FINRA Series 7FINRA Series 24