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About the Role

The Compliance Assistant will support the EMEA Compliance Department to ensure T. Rowe Price operations comply with relevant legislation and regulation. This role offers the opportunity to gain experience in the firm's compliance program, building a foundation for a career in Compliance.

Responsibilities

• Support the firm’s compliance framework and ensure business activities in the EMEA region comply with relevant laws and regulations.
• Provide support in responding to Code of Ethics and Conduct related matters, including queries on personal trading, conflicts of interest, and gifts/entertainment.
• Deliver Compliance induction training to new associates.
• Support the administration and rollout of new compliance training initiatives, maintaining materials and records.
• Maintain compliance registers, records, and databases, ensuring accuracy and completeness.
• Support licensing, registrations, and record-keeping activities, including maintaining information on UK Senior Managers and Certification Staff.
• Assist with the preparation of periodic and ad hoc regulatory reporting and maintain the firm’s regulatory filings calendar.
• Provide standard reporting information for Board papers.
• Review and respond to internal stakeholders on client certifications and routine due diligence requests and RFPs.
• Monitor the firm’s errors, breaches, and incidents reporting system and support the assessment of regulatory impact.
• Assist Compliance Managers with regulatory research using various resources.
• Escalate business queries to Compliance Advisory colleagues and assist with information gathering.
• Support the firm’s Designated Individuals with Market Soundings processes.
• Assist with the review and processing of market soundings and confidential information requests from brokers.
• Assist with additions to and removals from the firm’s Restricted List.
• Assist with ad hoc queries, issues, and investigations.
• Assist with maintaining policies and procedures and updating documentation.
• Support team or firm-wide project activities and maintain project documentation.
• Collaborate with other teams within the EMEA Compliance Department to understand broader initiatives and assist in delivering objectives.
• Assist the Compliance Monitoring team in executing the Compliance Monitoring Program.
• Assist Global Communications Compliance with research and development of rules for the firm’s services and distribution activities.
• Support the Global Financial Crime Compliance team in delivering the firm’s financial crime compliance framework.

Requirements

• GCSE’s and A Levels/Apprenticeship Qualifications
• 1-2 years of Compliance support experience or in a similar supporting role
• Good verbal and written communication skills
• Able to adapt to changing work priorities in a fast-paced environment
• Strong work ethic with a ‘roll your sleeves up’ attitude
• Willingness for further study

Skills

• Communication skills
• Research techniques
• Problem-solving skills

Location

• EMEA

Work Type

• Hybrid

Experience Level

• 1-2 years

Education Level

• GCSE’s
• A Levels
• Apprenticeship Qualifications

About the Company

• T. Rowe Price is an investment management firm.