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Investment Compliance --- Senior Analyst (Rule Building)

Company: T Rowe Price
Location: Baltimore
Posted on: November 11, 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 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 Rule Building team, which is responsible for the programming of all restrictions into the firms investment compliance monitoring system, Charles River. The Senior Analyst identifies, interprets, and programs restrictions into the Charles River compliance system to support automated compliance testing across all portfolios managed by T. Rowe Price. The Senior Analyst consults with and provides information to investment personnel, attorneys, client operations managers and other internal and external parties. The Senior Analyst also assesses the impacts of regulatory changes, new investment strategies, and data changes on the rule library and manages projects assigned by the Lead Manager and/or the Investment Compliance management team. PRINCIPAL RESPONSIBILITIES Rule Building Duties, using Charles River: - Reviews investment restrictions in proposed new account documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed - Programs logic-based rules in Charles River in order to effectively monitor client and regulatory requirements - Collaborates with investment staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio - Performs quality assurance testing and review of rules programmed by other team members - Evaluates compliance system functionality and available data elements to determine how restrictions can be captured in the compliance systems - Provides creative coding solutions and alternatives to capture complex requirements - Assesses impacts of code changes and tests restrictions to ensure they function as intended Process Improvement: - Proactively identifies process improvement opportunities - Works to reduce risk by looking for opportunities to make coding more accurate, concise, and efficient - Recommends ways to automate manual rules and/or implement additional compliance functionality and data as a result of system upgrades - Develops subject matter expertise and proactively shares expert knowledge of the Charles River system, or other investment compliance monitoring system(s), to significantly increase depth of knowledge within the Rule Building function - Challenges the status quo of policies and procedures, existing thinking, and offers new solutions - Assists in the continued optimization of the rule library Projects: - Prioritizes, organizes, and oversees complex projects from internal and external customer groups - Assesses the comprehensive impacts of regulatory changes, new investment strategies, products and derivative instruments on the rule library - Develops project plans for Rule Building personnel to implement changes - Communicates rule changes and resulting impacts to internal and external customers ensuring changes are appropriately documented - Develops appropriate documentation, procedures, and process controls QUALIFICATIONS Required - Bachelor degree, or Associate degree and 4 years related work experience, or High School diploma/equivalent and 6 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 degree in a related field (e.g. accounting, finance, etc.) - 6 years of work experience in investment compliance or closely related field - Experience with compliance and/or trading systems, preferably Charles River - In-depth investment/securities knowledge, including derivatives - Working knowledge of global regulations, i.e. 1940 Act, UCITS (Luxembourg/UK), etc. - Working knowledge of relational databases, SQL, programming languages and database concepts T. Rowe Price is an Equal Opportunity Employer

Keywords: T Rowe Price, Baltimore , Investment Compliance --- Senior Analyst (Rule Building), Professions , Baltimore, Maryland

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