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
We are seeking a collaborative and inquisitive professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded Funds (ETFs) and separately managed account (SMA) platforms. This role will be responsible for assisting the Head of North America Compliance in developing and maintaining an effective compliance program that ensures adherence to legal and regulatory requirements within the investment industry and providing consultation to stakeholders regarding the firm’s products by serving as the subject matter expert in assigned product lineup.
Responsibilities
- Assist the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, regulations, and guidelines.
- Collaborate with various departments to develop, implement, and maintain policies and procedures that promote compliance with regulatory requirements and industry best practices.
- Stay up to date with changes in regulatory requirements and industry trends to provide guidance and expertise on compliance matters.
- Assist in the development and delivery of compliance training programs to educate associates on relevant laws, regulations, and policies.
- Collaborate with other assurance partners to advice the business on compliance and regulatory matters.
- Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and coordinating regulatory examinations.
Qualifications
Required:
- Bachelor's degree in finance, business administration, law, or a related field.
- 12+ years of experience in compliance within the investment management or financial services industry, with a focus on regulatory compliance.
- Investment Company Act of 1940 compliance experience including ETFs.
- ETF product expertise
Preferred:
- Advanced degree or professional certifications (such as CFA, CPA, or JD)
- Prior experience supporting Exchange-Traded Funds (ETFs) or separately managed account platforms (SMAs)
- Strong knowledge of relevant laws, regulations, and guidelines, including but not limited to SEC, FINRA, and other regulatory bodies.
- Proven track record of designing and implementing compliance programs and controls within a complex organization.
- Excellent analytical and problem-solving skills with the ability to identify and mitigate compliance risks effectively.
- Exceptional communication and interpersonal skills to effectively collaborate with stakeholders at all levels.
- Ability to work independently and manage multiple priorities in a fast-paced, dynamic environment.
- Strong attention to detail and organizational skills to ensure accurate reporting and documentation.
- Demonstrated leadership qualities and ability to influence and inspire a culture of compliance.
FINRA Requirements
FINRA licenses are preferred and may be supported for this role.
Work Flexibility
Preference is for candidates willing to work out of either the Baltimore or New York City office location in a hybrid arrangement, with up to two days per week from home; however, the role is eligible for full time remote work.
Base salary ranges:
$171,000.00 - $292,000.00 for the location of: California, New York
$151,000.00 - $257,500.00 for the location of: Washington, D.C
$137,000.00 - $234,000.00 for the location of: Colorado, Maryland, Washington and all other US locations
Placement within the range provided above is based on the individual’s relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.
This job posting is expected to be available until:
01/30/2025
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 value your goals and needs, at work and in life. As an associate, you’ll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.
Featured employee benefits to enrich your life:
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.
