Senior Manager, Regulatory Advisory Compliance at T. Rowe Price

Sydney, New South Wales, Australia

Apply Now

Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

Requirements

University graduate
10-15 years relevant compliance experience, preferably in the asset management industry
Knowledge of relevant regulations in Australia (and other jurisdictions in Asia is a plus)
Ability to work under pressure and produce timely results independently
Team player who is able to build working relationships and interact with a diverse group of internal and external contacts
Good analytical skills and ability to make critical, time sensitive decisions
Effective communication skills (verbal and written)

Responsibilities

Supporting the business conducted in Australia and within the APAC region in remaining compliant with relevant laws and regulations
Act as a contact point for questions related to regulatory matters
Driving the identification, assessment and mitigation of compliance risks by designing, enhancing and advising on compliance program, internal controls and internal work process
Establish, review and enhance on the compliance frameworks/policies of the business activities and initiatives in the APAC region
Advising business to implement the compliance frameworks/policies
Responsible for tracking and leading regulatory change projects relating to Australia
Building out and performing periodic monitoring/surveillance according to relevant regulations and internal policies
Liaising with ASIC and Responsible Entity as and when necessary
Handling notifications and enquiries to/from regulators
Act as the AML/CTF Compliance Officer for TRP Australia
Assists other team members when needed to support core compliance work, including but not limited to: Providing advice on Code of Ethics matters, Resolving breaches and incidents, Providing Compliance training, Complaints handling, Compliance responses to client due diligence requests and RFPs, Review of marketing materials

Skills

Regulatory Compliance

Compliance Risk Assessment

Compliance Frameworks

Internal Controls

APAC Regulations

Australia Regulations

Policy Development

Risk Mitigation

T. Rowe Price

Global asset management and investment advisory services

About T. Rowe Price

T. Rowe Price provides investment advisory services and retirement solutions to individual investors, financial intermediaries, and institutions. The firm employs a disciplined investment approach supported by extensive research to deliver long-term value. It generates revenue mainly through management fees based on the assets it manages, which amounted to $1.569 trillion as of June 30, 2024. T. Rowe Price serves a wide range of clients, including individual investors, retirement plan sponsors, and institutional investors like endowments and foundations. Its global reach and experienced investment teams enable the firm to offer various investment strategies and products, helping clients achieve their financial goals.

Baltimore, MarylandHeadquarters

1937Year Founded

$78,115.8MTotal Funding

IPOCompany Stage

Quantitative Finance, Financial ServicesIndustries

10,001+Employees

Benefits

Paid Volunteer Time

Parental Leave

Learning & Growth Resources

Matching Charitable Gifts

Health Care Benefits

Generous Retirement Plan

Risks

Increased competition from AI-powered platforms challenges T. Rowe Price's traditional strategies.

Departure of key personnel may impact T. Rowe Price's wealth management capabilities.

High valuations of AI startups could divert capital from traditional asset management firms.

Differentiation

T. Rowe Price offers a comprehensive range of investment strategies across various asset classes.

The firm emphasizes long-term value through disciplined investment and extensive research capabilities.

T. Rowe Price's global reach and diverse client base enhance its market position.

Upsides

Growing interest in AI-driven investment strategies presents new opportunities for T. Rowe Price.

The rise of quantum technology aligns with T. Rowe Price's focus on tech startups.

Collaboration trends in biotech offer potential investment opportunities in genetic medicine.

Land your dream remote job 3x faster with AI

Try Jobo Free