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.
Role Summary
The Global Distribution (GD) Compliance & Risk Management Analyst position provides support, direction and consulting to business partners and senior leaders throughout the firm encompassing the oversight of prospectus and shareholder report delivery. The position ensures that the required oversight processes are executed accurately and timely. The position assists in the planning, implementation, and monitoring of regulatory changes pertaining to the delivery of shareholder reports and prospectuses. This includes writing requirements and establishing processes to reconcile delivery and mitigate and monitor risk. This position uses business experience and judgment to provide recommendations on compliance/ risk management goals and to provide support to business partners with respect to compliance/risk management needs. The position manages a variety of complex issues and requests, including the resolution of business issues involving compliance or risk management. The analyst collaborates with Legal & Global Compliance Internal Audit, and auditors to monitor compliance/risk-related concerns and to continuously enhance the Compliance Mailings program.
The position independently facilitates discussions and presents recommendations to business units/business partners to enhance collective knowledge of critical risks, compliance controls, control gaps, and potential solutions. The position mentors and provides guidance to the GD Compliance & Risk Management Associate Analysts.
Responsibilities
Serves as project lead on small to medium-sized projects of moderate complexity. Supports specific work streams of larger or more complicated projects. Partners with stakeholders to gather and define requirements, develop timelines, establish milestones, and report on the project status.Coordinates activities related to new compliance mailing regulations. Submits recommendations to modify policies and procedures related to internal controls. Communicates these changes to operations teams and assists with updates to processes to strengthen risk management programs.Partners with various business units and teams such as Legal, Enterprise Risk Management, Investment Operations, and others to coordinate (or assist with the coordination of) resolution on compliance mailing matters. Provides managers with information and input on new firmwide policies, guiding them on matters related to implementation and compliance; monitors ongoing compliance across all teams. Executes education and training programs for employees whose functions or responsibilities involve compliance with applicable firm policy and regulatory and industry laws.Coordinates projects designed to resolve various process issues using knowledge of best practices, systems, policy requirements, and client service needs to implement the development of solutions that improve overall efficiencies.Assists with vendor due diligence providing recommendations and analyzing vendor services.Understands and identifies when certain matters need to be escalated to senior level management.Reconciles daily and monthly reporting to ensure it is accurate and helps identify trends to be reported back to the business or management.Serves as point of contact in support of the firm’s compliance mailing program. Exercises judgment and discretion to analyze various processes to identify risks and areas of potential exposure. Raises issues to the attention of managers for further guidance.Collaborates with various internal departments to ensure adherence to policies and maintenance of appropriate documentation.
Qualifications
Required:
Preferred:
Ability to quickly collect, organize, and analyze significant amounts of information with a strong attention to detail and accuracy; Experience drafting policies for regulatory changes. Strong professional collaborative communication skills both written and verbal. Ability to quickly learn business processes and applicable systems/platforms through one-on-one training and self-study of documented policies, procedures, guidance documents and job aids; Communicates effectively in a variety of settings and using different mediums; tailors message and delivery to different audiences; Professional, proactive and self-motivated; Accountable for own work and effective coordination of process and information sharing with others; Balances working independently, within guidelines after receiving general guidance, with seeking input/guidance in a timely manner to avoid delays and re-work/duplication of efforts; Listens in the context of objectives and asks relevant insightful questions. Strong attention to detail; and Self-motivated drive for results with assigned projects. Decision making ability.FINRA Requirements
FINRA licenses are not required and will not be supported for this role.
Work Flexibility
This role is eligible for hybrid work, with up to two days per week from home.
Base Salary Ranges
Please review the job posting for the location of this specific opportunity.
$68,000.00 - $116,000.00 for the location of: Maryland, Colorado, Washington and remote workers$74,500.00 - $127,000.00 for the location of: Washington, D.C.
$85,000.00 - $145,000.00 for the location of: New York, California
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.
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:
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
Learn more about our benefits.
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.