Posted in Nonprofit - Social Services 25 days ago.
Type: Full-Time
Location: Baltimore, Maryland
There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.
About this Position
We are seeking a proven leader to oversee compliance for North America with the responsibility for setting compliance standards and enhancing the compliance framework for T. Rowe Price’s investment companies, investment advisers, transfer agents and broker-dealer. This person will serve as Chief Compliance Officer for T. Rowe Price Mutual Funds and for the main US advisors. The Head of Compliance, North America will provide advice and recommendations to all levels within the organization to ensure business support and adoption, transparency, consistency in approach and risk mitigation. The candidate will develop relationships with key internal and external stakeholders – including regulatory and governing bodies – to ensure that T. Rowe Price’s approach to compliance is proactive and preventative.
The position will have a dual reporting line to the Fund Board of Directors for Fund CCO duties and to the Head of Global Compliance for all other responsibilities. The successful candidate will be responsible for developing a strategic, trusted relationship with the Board. This includes meeting with the Board in executive session and the Board Chair in between meetings, building trust and confidence with the Board to effectively discuss compliance matters. Likewise, this person will be responsible for preparing a quarterly compliance report to the Board covering material compliance matters, updates to the compliance program, status of regulatory exams and other program updates.
Role Summary
The Head of Compliance, North America will strategically oversee and lead a team of approximately 60 individuals with responsibility for reviewing compliance controls, mitigating compliance risk, and ensuring the compliance programs are fit for purpose in light of regulatory expectations and laws. This position helps set the strategic direction of the enterprise compliance program and is responsible for the implementation of the policies, processes, and tools to ensure that the regulatory, financial and reputational risks associated with compliance are mitigated.
The role demands a proactive and strategic leader who can anticipate where issues may arise and who stays ahead of regulatory expectations. They will be required to make sound, judgment-based decisions and answer complicated compliance risk-related questions in order to ensure appropriate controls are in place to mitigate risks. The candidate is expected to help build strategic advisory capabilities across North America supporting the T. Rowe Price firm growth strategy and build a framework for consistency across the globe.
Responsibilities:
Qualifications:
Required:
Preferred:
FINRA Requirements
FINRA licenses are not required but are preferred and will be supported for this role.
Work Flexibility
This role is eligible for remote work up to two days a week.
Commitment to Diversity, Equity, and Inclusion:
We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day.
Benefits: We invest in our people through a wide range of programs and benefits, including:
Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.
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