Trade Compliance Analyst
Brooks Running
ERP
Senior Manager, Regulatory Advisory and Compliance
T. Rowe Price
full-time
Posted on:
Location Type: Hybrid
Location: Owings Mills • California, Colorado, Maryland, New York, Washington • 🇺🇸 United States
Visit company websiteSalary
💰 $108,000 - $184,000 per year
Job Level
Senior
About the role
- Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price’s proprietary and subadvised 40 Act products
- Advise clients in maintaining and enhancing their respective compliance programs and lead projects to improve compliance processes/programs
- Prepare relevant analyses and provide recommendations using in-depth knowledge
- Provide strategic consulting to senior managers responsible for business unit compliance
- Identify areas of program improvement, problem resolution, and follow-ups
- Provide customized work plans, documentation templates, and detailed compliance risk assessments
- Develop strategic direction for business unit compliance programs and provide daily operations guidance
- Ensure internal clients have fully compliant and up-to-date programs
- Manage long-term compliance projects, collaborate with project leaders, and manage to budget
- Advise on testing of policies and procedures and recommend risk-based tests
- Assist external regulatory reviews and provide information to consultants
- Review procedures and policies to ensure compliance
- Support senior leadership and meet with clients or in place of senior managers
- Draft quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and oversee monthly and quarterly compliance reporting to clients
- Participate in industry panels and attend conferences to broaden regulatory insights
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- Knowledge and understanding of Investment Company and Adviser Acts
- Knowledge of Mutual Fund and ETF compliance regulations, programs and best practices
- Ability to analyze and interpret complex data sets
- Ability to give guidance to business partners
- Adaptability, flexibility and a “can-do” attitude
- Comfortable engaging various technologies
- Excellent written and verbal communication skills
- Superb critical-thinking and problem-solving skills
- Advanced analytical, interpretive, and organizational skills
- Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.)
- Familiarity with Office 365 and associated applications
- Understanding of Rule 38a-1 and Rule 206(4)-7 and regulatory reporting requirements
Benefits
- Competitive compensation
- Annual bonus eligibility (discretionary bonus)
- A generous retirement plan
- Hybrid work schedule (up to one day per week from home)
- 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 programscompliance risk assessmentsdata analysisregulatory reportingpolicy testingproblem resolutionproject managementstrategic consultingbudget managementregulatory insights
Soft skills
adaptabilityflexibilitycommunication skillscritical-thinkingproblem-solvingorganizational skillsguidancecollaborationleadershipanalytical skills
