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Specialist, Investment Compliance

Company: T. Rowe Price
Location: Baltimore
Posted on: November 22, 2020

Job Description:

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.Role Summary:

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 sits within the Monitoring team, which is responsible for the review of alerts occurring as trades are modeled and executed in the firm's order management system, Charles River. The Specialist identifies and interprets these alerts and either approves or denies the trades as a result. The Specialist works with occasional instruction or guidance but performs most tasks without supervision. The Specialist also consults with and provides information to investment personnel, attorneys, and other internal and external parties and assists with problem resolution and process improvements.

Responsibilities:



  • Monitor pre-trade, post-trade, and batch compliance for your assigned buckets in a timely and accurate manner
  • Provide backup support for monitoring pre trade, post-trade and batch compliance;
  • Whether on the Desk or answering the Must Answer Line, quickly and accurately provide Trading with information regarding compliance alerts;
  • Question and escalate any unusual issues/potential violations in a timely manner and follow issues through to resolution;
  • Demonstrate an understanding of the issues by clearly documenting (in emails and comments) why an alert generated and why it is (or is not) a violation; identifying trends where applicable;
  • Demonstrate the ability to independently resolve compliance issues as they arise
  • Monitor pre-trade, post-trade, and batch compliance for your assigned buckets in a timely and accurate manner;
  • Provide backup support for monitoring pre trade, post-trade and batch compliance;
  • Whether on the Desk or answering the Must Answer Line, quickly and accurately provide Trading with information regarding compliance alerts;
  • Question and escalate any unusual issues/potential violations in a timely manner and follow issues through to resolution;
  • Demonstrate an understanding of the issues by clearly documenting (in emails and comments) why an alert generated and why it is (or is not) a violation; identifying trends where applicable;
  • Demonstrate the ability to independently resolve compliance issues as they arise restrictions;
  • Identify areas of improvement in manual monitoring and sub-advised reporting, and investigate and implement feasible solutions
  • Provide timely and accurate responses to internal and external customer requests - try to say yes but know when to say no
  • Maintain an approachable, responsive attitude and demonstrate a willingness to go above and beyond what is expected;
  • Utilize technical skills and creative thinking to address customer group issues with "solutions-oriented" responses;
  • Exhibit strong written and verbal communication skills when interacting with customer groups;
  • Demonstrate initiative by proactively seeking out cross-training opportunities;
  • Provide coverage for all batch buckets handled in Baltimore;
  • Provide desk coverage for non-primary trading desk at least monthly;
  • Routinely support must answer line calls, regardless of trading desk that is calling


    Qualifications:

    Required:


    • Associates or bachelor's degree, 2+ years related work experience
    • Proven analytical skills within the area of investment compliance or a related field
    • Strong attention to detail; commitment to quality
    • Strong customer service orientation
    • Strong interpersonal skills; effective written and oral communications
    • Ability to work under pressure
    • Strong organizational skills; proficient in handling multiple tasks simultaneously
    • Strong research and problem-solving skills
    • Team player


      Preferred:


      • Bachelor's degree in a related field (e.g. accounting, finance, etc.)
      • 2-4 years of work experience in compliance
      • Basic investment/securities knowledge
      • Working knowledge of domestic and international securities law
      • Experience with compliance and/or trading systems, preferably Charles River
      • Experience with Excel functions, conditional statements and macros


        Job Family: Compliance Services and Regulatory Reporting

        Track: Knowledge Management (KM)

        Level: KM1T. 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, colour, 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.

Keywords: T. Rowe Price, Baltimore , Specialist, Investment Compliance, Other , Baltimore, Maryland

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