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Senior Analyst, Technology Compliance and Risk Management

Company: T Rowe Price
Location: Owings Mills
Posted on: July 15, 2019

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 clients success. If youre 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. OVERVIEW The Senior Business Analyst coordinates audit, risk and compliance efforts for Global Technology. The Senior Analyst is an expert and uses business acumen and project leadership skills and knowledge to provide direction to business managers and senior leaders throughout Global Technology, encompassing all services Global Technology provides to T. Rowe Price (TRP). The Senior Analyst is responsible for assisting Compliance & Risk Management (CRM) management staff with developing, implementing, and monitoring all Global Technology compliance programs in order to measure, mitigate, and monitor risk to the organization. This position leverages a broad understanding of the various TRP business units and the Global Technology organization in order to coordinate audit activities with on-site audit/consulting staff. The Analyst represents CRM on enterprise-wide compliance or risk management related teams to provide compliance or risk related insight and input, expertise, recommendations and/or analysis as needed. The Senior Analyst communicates regularly with business partners and managers and asserts influence to implement controls, process improvements or risk mitigation processes where appropriate. PRINCIPAL RESPONSIBILITIES Audit Coordination - Supports the Service Organization Controls (SOC) 2 audit across Global Technology and business units. Partners with advisory consultants, external auditors, Internal Audit, Enterprise Risk, and coordinates throughout the organization to document controls, develop tests, gather evidence and summarize conclusions. Responsible for coordinating the mitigation of all defects, exceptions, and weaknesses discovered during audits. Uses audit, compliance and risk knowledge to effectively drive change within various Global Technology and business groups to ensure that audit requirements are met and sound risk management practices are incorporated into policy, operating procedures and processes. Technology Risk and Controls Program Supports CRM management for all technology compliance and risk management programs, including audit risk assessments, external reviews, and identifying and implementing processes that strengthen internal controls. Utilizes technology risk and audit project experience to identify areas requiring risk assessment. Assists in setting strategy for risk assessment . Working independently, exercises judgment and discretion to review unique and complex technology and support processes for control gaps. Interviews managers and staff across various levels and functions of the organization and observes the process. Uses heat mapping and other tools to help identify and rank key risk areas. Documents and/or flowcharts the current process and controls. Analyzes risk events and controls and develops recommendations for mitigation of risk. Engages with CRM and Global Technology managers to identify emerging risks, based on technology and business change and prioritizes needs. Provides recommendations and best solutions and gains buy-ins from senior leadership to build consensus on identified gaps and steps to mitigate. Consultative Analyst Works completely independent to support CRM and other firm-wide initiatives by performing audits, case studies, process and risk reviews, policy/procedure implementations, systems access reviews and other related functions. May be leveraged independently; or matrixed to projects outside of Program Managers direct influence. Independently exercises judgment and discretion to analyze various Global Technology and business processes to identify risks and areas of potential exposure. Exposure could impact multiple business lines and incumbent proactively provides guidance to management and staff to identify and influence policy changes necessary as a result of risk assessments, regulatory changes and audit findings (internal and external). May be requested to work on a TRP committee to provide compliance or risk related insight and input, expertise, recommendations and/or analysis as needed. Facilitates case studies or lessons learned sessions with management and staff to educate and raise awareness of potential risk areas. While confidently presenting to various levels of management on a wide range of risk management and compliance related topics, influences management to make decisions in areas where changes are necessary. Communicates under pressure in situations where management may push back on a recommended change. Develops Organizational Capability Coaches and mentors CRM Analysts. Provides guidance and leadership to Analysts when on high profile, more complicated and/or technical assignments (i.e. risk assessments, regulatory changes). Assists management and supported business areas with training and educating Analysts and other associates on CRM processes and TRP policies and procedures. Assists Program Managers with prioritization of projects and other group-wide functions. Acts as coach and mentor to CRM analysts and others in the organization. Identifies and evaluates outside educational opportunities for skills and expertise development on the team. QUALIFICATIONS Required - College degree and 2 years of related work experience, or Associate degree and 4 years related work experience, or a High School diploma/equivalent and 6 years related work experience - Two years of audit/risk related work experience, including audit and risk assessment - Strong ability to effectively articulate complicated issues to senior management - Ability to independently interact with various levels of management and influence procedural changes - Proven ability to form and foster strong positive business relationships - Proven ability to consult with internal clients and identify areas where risk mitigation opportunities are present - Experience in process and control analysis for risk, audit and regulatory change impact - Financial services industry experience - Excellent writing skills - Self-motivated and self-directed while possessing experience in successfully working with cross functional teams - Demonstrated ability to successfully prioritize in order to meet deliverables - Excellent verbal communication and interpersonal skills; position requires interaction with various levels of internal staff - Strong computer skills including Excel, Word and PowerPoint - Demonstrated ability to lead cross-departmental projects with little or no manager oversight Preferred - College degree in relevant field with at least four years of relevant experience in technology compliance/audit/risk assessment preferred - SOC 2 readiness and audit experience - Project management experience preferred T. Rowe Price is an Equal Opportunity Employer

Keywords: T Rowe Price, Baltimore , Senior Analyst, Technology Compliance and Risk Management, Executive , Owings Mills, Maryland

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