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Lead Manager, Investment Compliance

Company: T. Rowe Price
Location: Baltimore
Posted on: May 18, 2018

Job Description:

Our mission as a leading investment management firm is to help our clients achieve their long-term financial goals. We believe our associates are the key to this mission and we are always looking for talented individuals who share our commitment to our client---s success.

If you---re looking for challenging work experiences and the ability to learn in a collaborative culture, we invite you to explore the opportunities available at T. Rowe Price.PRIMARY PURPOSE OF THE POSITION

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions for every portfolio managed by T. Rowe Price. This position is a leadership role within Investment Compliance and is responsible for the oversight of the investment compliance monitoring operations related to the firm---s Equity investment products. The Lead Manager applies business and industry knowledge to effectively manage all aspects of the monitoring process and works continually to ensure an efficient and effective monitoring program.

Specifically, the position is responsible for providing team leadership, staff management and development, technical expertise and consultative relationships with key business partners. The position leads and manages a team of associates in Baltimore, but also has significant interaction, coordination and oversight of associates globally. The Lead Manager acts as a liaison and partner to the Equity Trading Desk and Portfolio Modeling Group and uses business experience and expert judgment to provide guidance to these areas with respect to compliance issues and needs.

The position also manages a variety of complex issues and requests and works closely with senior levels throughout the organization including attorneys, investment personnel and client service to resolve various business issues involving compliance. The Lead Manager also collaborates with other members of the Investment Compliance management team to set the overall direction of the Investment Compliance department.


Team Leadership:

  • Leads the Equity Monitoring team globally within the overall Investment Compliance function and provides investment compliance subject matter expertise and oversight for all Equity investment products managed by T. Rowe Price.
  • Oversees all investment compliance matters and ensures appropriate compliance support is in place for all Equity investment and trading personnel.
  • Monitors overall team performance using tangible measures. Promotes a high standard of quality and timeliness and holds associates accountable for all work performed.
  • Ensures appropriate policies, processes and internal controls are established and followed and provides a framework to minimize the risk of compliance breaches and other types of business errors.
  • Identifies trends and risks impacting the investment compliance monitoring program. Enacts new policies and procedures to mitigate risk and/or escalates when necessary.
  • Manages the investment compliance resolution and communication process. Interfaces with attorneys, investment staff, client service and others to validate, resolve, communicate and document compliance breaches. Reviews root cause of compliance breaches and implements appropriate procedure changes when necessary.

    Staff Management:

    • Establishes clear objectives and expectations --- provides a clear mission and shared direction, motivates and engages team members, and empowers them to achieve functional and departmental goals.
    • Develops associates through coaching, honest and timely feedback, exposure, and stretch assignments. Collaborates with associates to create individual development plans that meet organizational objectives and career development goals.
    • Proactively uses the firm---s corporate performance and development resources to enhance staff management capabilities.
    • Leads the recruitment and training of new associates in order to develop a high performing team to deliver on and exceed customer expectations.
    • Develops solid succession plans and ensures that qualified successors are identified and ready for key roles.

      Consultative Business Partner:

      • Acts as a liaison and partner to the Equity Trading Desk and Portfolio Modeling Group and uses business experience and expert judgment to provide guidance to these areas with respect to compliance issues and needs.
      • Anticipates key business partner needs and issues and drives processes to ensure that needs are met, gaps/risks are mitigated, and new business trends are incorporated into business planning. Meets regularly with key business partners to gather feedback on performance.
      • Develops and maintains a strong peer network across the firm to share information and resolve issues quickly.

        Technical Expertise:

        • Demonstrates a proficient understanding of the firm---s equity investment strategies, global regulatory requirements, and investment compliance processes and systems.
        • Utilizes technical and operational subject matter expertise and engages with peers and other senior members of the organization to resolve complex business issues impacting compliance.
        • Stays abreast of corporate initiatives and industry trends and issues impacting investment compliance.



          • Bachelor---s degree and 6 years related work experience, or Associate degree and 8 years related work experience or High School diploma/equivalent and 10 years related work experience
          • Consistent demonstration of leadership qualities and abilities
          • Strong business acumen, analytical and problem solving skills
          • Excellent judgement, ability to make critical, time-sensitive decisions
          • Ability to communicate, influence and impact all levels of the organization
          • Ability to develop both a tactical and a strategic approach to a problem/situation
          • Strong customer service orientation; applies consultative approach when interacting with peers and customers
          • Effective written and oral communications
          • Excellent organizational skills; ability to manage competing priorities and deadlines
          • Ability to identify risks, trends, process improvements and to manage change


            • Bachelor---s degree in a related field (e.g. accounting, finance, or related field)
            • 7+ years of work experience in investment compliance or related field
            • Experience with compliance and/or trading systems, preferably Charles River
            • In-depth investment/securities knowledge
            • Working knowledge of domestic and international securities law, i.e. 1940 Act, UCITS (Luxembourg/UK), etc.

              T. Rowe Price is an Equal Opportunity Employer

              Keywords: T. Rowe Price, Baltimore, Lead Manager, Investment Compliance, Executive, Baltimore, Maryland

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