Sr Mgr, Americas Compliance

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused 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 Compliance & Risk Management Global Distribution Americas Senior Manager provides leadership, direction, and consulting to managers across Global Distribution Americas business unit encompassing all investment products, and institutional clients serviced.  This is a first line of defense position that is responsible for the planning, implementation and monitoring of compliance requirements and establishing programs to measure, mitigate and monitor risk in an effort to ensure that the operations of T. Rowe Price’s Global Distribution Americas (the business unit) comply with relevant legislation and regulation in the US regulatory environment.  This position coordinates with resources outside of their team to design and deliver effective compliance and risk management programs and reporting.  The position uses business experience and judgement to implement compliance and risk management goals and initiatives that support the business unit’s compliance and risk management needs.  The position manages a variety of complex issues and requests and oversees the resolution of business issues involving compliance or risk management.  The position will work collaboratively with the business unit, Legal, Global Compliance, Enterprise Risk Management, Internal Audit and other first line compliance and risk management teams to meet regulatory and firmwide objectives and mitigate compliance and risk-related concerns.

GCF Role Summary

• Requires specialized knowledge and expertise in their own job discipline and deep experience in integrating related disciplinary knowledge
• Leads disciplinary or cross-functional program of notable risk; uses sophisticated analytical thought to identify innovative solutions
• Accountable for work of self and others; sets standards around which others will operate
• Works independently, with guidance in only the most complex situations
• Acts as advisor to management and key external stakeholders on broad-ranging projects

Role Descriptions:

• Collaboratively develops the strategic direction for each business unit’s compliance and risk programs (i.e., US, Canada, and Consultant Relations) and ensures all internal clients have a fully compliant and up-to-date program in place.
• Provides strategic consulting to senior leaders responsible for business unit compliance and risk management.
• Works with the business unit and shared services teams to identify areas of program improvement, to resolve issues, and to follow-up on open items as needed.
• Provides customized work plans, documentation templates, and detailed compliance and risk assessments.
• Manages the execution of projects from a compliance and risk perspective and is responsible for ensuring a positive outcome.
• Partners with Enterprise Risk Management to make recommendations on risk-based tests to be performed; informs impacted business units about issues; prioritizes risk and exposure areas; helps business units to identify, develop and execute solutions.
• Serves as the Incident Coordinator, partnering with other compliance and risk teams at the firm to ensure others are aware of the impact of incidents; responsible for root cause analysis, reporting, tracking and remediation efforts.
• Responsible for developing and maintaining policies and procedures, whether as a result of new product development, new or enhanced regulatory requirements, or new compliance processes.  Coordinate the annual compliance policy and procedure certification. 
• Partners with Global Compliance and Enterprise Risk Management for interpretation of new regulatory guidance and assesses the impact of new guidance on business practices, including identifying necessary action steps to maintain and achieve compliance. 
• Develops, maintains, and communicates compliance and risk plan during Annual Compliance Self-Assessment; provides regular update to the plan as well as any new regulatory and risk requirements.
• Responsible for leading and facilitating periodic Risk Assurance Meetings.
• Develops and conducts compliance and risk training to support the business unit’s policies and procedures.
• Works with Compliance Shared Services and the business unit to address trends identified related to gift & entertainment reporting, associate licensing, and marketing communications reviews.

Personal Attributes / Skills / Qualifications – Required

• Bachelor’s degree or the equivalent combination of education and relevant experience
• Proven relevant work experience
• Ability to understand complex regulatory requirements from multiple regulatory bodies
• Excellent interpersonal skills.
• Able to work under pressure and produce results without close supervision.
• Strong verbal and written presentational skills
• Attention to detail
• A team-worker who must be able to build working relationships and interact with a diverse group of internal contacts
•  Strong influencing skills
• Analytical skills allied with creative and critical thinking
• Project management and facilitation capabilities
• Excellent communication skills and ability to communicate complex concepts and issues clearly and concisely
• Leadership ability
• Sound judgement and integrity
• Conflict resolution skills
• Working knowledge of compliance within the investment industry
• FINRA Licensed Series 7 and 24

Personal Attributes / Skills / Qualifications – Preferred

• Prior global asset management experience and knowledge of Asset Management products and vehicles
• Prior compliance and risk related experience (regulations, frameworks, tools, and concepts)

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 to bring your best each day.

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.

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, color, 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.