Senior Consultant leading quality management and IT projects in manufacturing. Overseeing IT system validation, audits, and ensuring effective collaboration in compliance and quality management.
TP
Hybrid Senior Manager, Regulatory Advisory Compliance – Compliance Testing
Posted 2 weeks ago
About the role
- Senior Manager executing compliance tests and supporting risk-based programs in investment management at T. Rowe Price. Collaborating with compliance and legal teams to mitigate risks and ensure regulatory adherence.
Responsibilities
- Plan, scope, and execute compliance tests within framework standards, applying a risk-based approach to evaluate whether the firm has appropriate policies and procedures, and whether controls are reasonably designed and operating effectively to comply with applicable laws
- Drive strategic thinking around emerging compliance risks to inform testing strategies and plans
- Identify opportunities to scale testing activities and promote efficiency across North America and other regions
- Lead innovative thinking and apply AI and data analytics to enhance testing methodologies, increase scale and depth of analysis, and create impactful visualizations to highlight potential compliance risks
- Build and maintain strong relationships with business partners and Global Compliance leaders, to support engagement and escalate significant compliance testing matters that require attention or action
- Support Global Compliance’s risk assessment process to identify, assess and mitigate compliance risks
- Support the firm’s broker‑dealer internal inspection program, including collaboration with relevant stakeholders and alignment with broader compliance testing activities
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- Significant compliance, regulatory, risk management, or assurance testing experience within a global asset management or investment management organization
- Strong working knowledge of US regulations applicable to T. Rowe Price (e.g., SEC, ERISA, FINRA, NFA, CFTC)
- Demonstrated accountability for self and others to drive deliverables, with a proven ability to collaborate effectively and build strong working relationships with diverse stakeholders
- Excellent verbal and written communication skills, including the ability to clearly articulate complex regulatory and risk issues to stakeholders
- Active FINRA Series 7 and Series 24 licenses are a plus, demonstrating familiarity with broker-dealer regulatory requirements and branch examinations
- Strong analytical, critical thinking, and problem-solving skills, with a high degree of attention to detail while managing multiple priorities
- Proficiency in using data analytics, automation, or technology-enabled approaches to enhance testing
- Familiarity with EMEA and APAC regulations a plus (e.g., FCA, SFC, MAS)
- Strong leadership capability with experience influencing stakeholders and driving outcomes across functions and geographies
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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