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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 all aspects of the firm’s compliance program, developing the foundation of knowledge and skills necessary for a career in Compliance.

Responsibilities

• Support the firm’s compliance framework and ensure business activities within the EMEA region comply with relevant laws and regulations.
• Provide support in responding to Code of Ethics and Conduct related matters, including 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, including maintaining materials and records.
• Maintain compliance registers, records, and databases, ensuring accuracy and completeness.
• Support licensing, registrations, and record-keeping activities, including 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 gathering information for responses.
• 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 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.
• Work 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 the Global Communications Compliance with research and development of rules of the road.
• 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 work
• Up to one day a week from home

Experience Level

• 1-2 years

Education Level

• GCSE’s
• A Levels
• Apprenticeship Qualifications

About the Company

• T. Rowe Price is a premier global asset management organization with more than 85 years of experience.
• We provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors.
• We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership.
• We believe doing the right thing for our clients and our associates is good business.
• We offer opportunities to create real impact at work and in your community.
• We provide resources to support your career path, as well as compensation, benefits, and flexibility.
• We foster a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.
• Our associates are our greatest asset.
• Our company culture is built on inclusion and we sustain a work environment where associates can bring their best selves to work every day.
• The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes.
• We value diversity of thought, gender, and race.
• Our continued success depends upon the equal treatment of all associates and applicants for employment.

Equal Opportunity

• T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race.
• We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.