Compliance Manager overseeing regulatory audits and compliance projects at Elevance Health. Ensuring adherence to regulations and managing audits while collaborating with various stakeholders.
About the role
- Sr. Analyst overseeing NFA registration and regulatory filings for T. Rowe Price. Requires strong analytical skills and collaboration across departments to enhance compliance processes.
Responsibilities
- Ongoing ownership of the NFA individual registration process from start to finish, in collaboration with multiple departments across the firm.
- Utilizes expertise and strong analytical skills to complete a high volume of regulatory filings and RFP/Due Diligence requests.
- Collaborates on projects driven by the needs of the business units or the chief compliance officer.
- Coordinates internal and external resources to accomplish project goals, manages the project team, and follows up on project deadlines.
- Conducts testing of policies and procedures for an assigned business unit.
- In consultation with legal team, recognizes current industry compliance issues and research and impact on T. Rowe Price and assigned business units.
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 5+ years of total relevant work experience
- Familiarity with regulatory filings/RFPs
- Prior NFA experience, specifically relating to registrations
- Strong technical and analytical skills
Benefits
- Competitive compensation
- Annual bonus eligibility
- A generous retirement plan
- Hybrid work schedule
- Health and wellness benefits, including online therapy
- Paid time off for vacation, illness, medical appointments, and volunteering days
- Family care resources, including fertility and adoption benefits
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