Sr. Manager, Regulatory Advisory Compliance at T. Rowe Price

Owings Mills, Maryland, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Investment Management, Financial ServicesIndustries

Requirements

In-depth knowledge of the Investment Adviser Act of 1940, as amended (“Advisers Act”) and Investment Company Act of 1940, as amended (“Investment Company Act”)
Proactive problem solver who can independently achieve outcomes
Ability to collaborate with compliance professionals and provide guidance to business partners
Experience leveraging subject matter expertise on challenging and novel compliance issues

Responsibilities

Advises clients in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs
Applies in-depth knowledge to prepare relevant analyses and provide recommendations
Provides strategic consulting to senior managers responsible for business unit compliance
Works with business units to identify areas of program improvement, problem resolution, and follow-ups
Provides customized work plans, documentation templates, and detailed compliance risk assessments
Collaboratively develops strategic direction for certain business unit’s compliance programs and provides guidance on daily operations of the compliance function
Ensures all internal clients have a fully compliant and up-to-date program in place
Manages projects from a compliance perspective that span months, quarters, or years; manages to budget, collaborates with project leaders, and ensures positive outcomes
Advises on testing of policies and procedures for business units; recommends risk-based tests, informs business units of issues, prioritizes risks, and helps develop solutions
Assists external regulatory reviews and provides information to consultants performing reviews
Reviews procedures and policies to ensure compliance
Provides support to senior leadership and meets with them

Skills

Investment Company Act

Advisers Act

40 Act Products

Regulatory Compliance

Compliance Reporting

Risk Management

Federal Securities Laws

Compliance Initiatives

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.

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