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Manager, Investment Compliance

Company: T Rowe Price
Location: Baltimore
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. PRIMARY PURPOSE OF THE POSITION This position is responsible for providing strategic and tactical leadership, direction, staff management and technical expertise. Specifically, the position is responsible for the direction and oversight of one or more Monitoring teams within the Investment Compliance department. The incumbent 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. The incumbent interfaces with other business units, monitors service levels with key customer groups (primarily trading and investment staff) and initiates and leads the implementation of process improvements that provide significant value to the business. The incumbent also interacts heavily with external clients, primarily in the Third Party Distribution line of business. PRINCIPAL RESPONSIBILITIES Monitoring Team Oversight: - Manages the daily monitoring activities within the investment compliance function, including providing subject matter expertise and oversight for various types of investment products (equity and fixed income, U.S. and non-U.S.). - Assists in the development of policy and ensures procedures and controls are appropriate to minimize risk. - Constantly evaluates the quality and effectiveness of the monitoring program; monitors trends to highlight areas of risk and/or inefficiency. - Collaborates with other members of the management team to set the overall direction of the Investment Compliance department. Staff Management: - Directly manages staff and provides leadership to supervisors and other direct reports in communicating and accomplishing stated objectives. - Provides the necessary resources to supervisors and staff to continually increase business knowledge and compliance expertise. - Establishes team and individual performance objectives, assigns accountability and provides direction. - Monitors staff development and training and manages team performance through feedback, coaching, and performance appraisal. Problem Resolution: - Independently manages and resolves a significant volume of non-routine questions, issues and requests from business units across the firm including portfolio management, trading and client service. - Makes critical, time-sensitive decisions that satisfy highly demanding customers while also protecting the integrity of the investment compliance monitoring program. - Negotiates resources, priorities and deadlines for significant issues or requests. - 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. Projects/Process Improvement: - Leads and participates in cross-divisional projects that improve the overall investment compliance monitoring program and/or impact front-office operations. - Proposes practical and efficient solutions. - Manages the expectations of the key stakeholders involved through effective communications. - Implements solutions and monitors for success, resolves issues that surface during and immediately after implementation, and ensures end users / customers are satisfied with the end result. Build/Maintain Relationships: - Cultivates strong day-to-day working relationships with customer groups by demonstrating accountability, addressing concerns, following up and communicating effectively. - Develops and maintains a strong peer network across the firm to share information and resolve issues quickly. - Acts as a primary point of contact for investment staff, presents information to existing and prospective clients, and serves as the point of contact for SAS70 and other routine audit engagements. QUALIFICATIONS Required - College degree and 2 years of related work experience, or Associate degree and 4 years related work experience, or High School diploma/equivalent and 6 years related work experience. - Consistent demonstration of leadership qualities and abilities - Business acumen - Ability to make critical, time-sensitive decision; excellent judgment - Ability to communicate, influence and impact all levels of the organization - Skilled at listening to and effectively addressing customer needs and concerns - Strong interpersonal skills and ability to forge relationships - Negotiation skills - Strong written and verbal communication skills - Strong presentation skills Preferred - 3+ years of TRP experience - Management/leadership experience - Working knowledge of domestic and international securities law - Experience with compliance and/or trading systems, preferably Charles River T. Rowe Price is an Equal Opportunity Employer

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

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