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About the Role

Our team is seeking a Compliance Manager to execute T. Rowe Price’s EMEA Compliance monitoring and testing program. You will perform monitoring and testing to demonstrate compliance with applicable laws and regulations, partnering with Compliance members and other assurance functions to identify risks and evaluate controls. The ideal candidate will possess knowledge and experience with the regulations and multiple disciplines involved in the operations of an investment management firm. This is an opportunity to be an integral part of a global team, apply compliance knowledge to mitigate risk, and positively impact the department and an expanding business.

Responsibilities

Undertake monitoring and surveillance in line with the Global Compliance Monitoring and Testing Programme.
Perform comprehensive monitoring and testing of processes to ensure regulatory requirements are satisfied, including market abuse, best execution, ESG, CASS, and Marketing Materials.
Conduct thematic reviews based on key regulatory issues or industry best practices.
Ensure timely investigation and resolution of identified issues.
Monitor unresolved issues.
Escalate significant issues and report summary findings to EMEA Compliance Advisory and EMEA CCO.
Identify and recommend solutions resulting from testing and collaborate with business partners on remediation plans.
Document test work and draft reports detailing performed testing and results.
Track the status of outstanding findings, obtain updates from business partners, ensure due dates are met, and confirm remediation.
Build and maintain strong relationships with business partners and Compliance leaders to assist in escalating significant compliance testing matters.
Assist in preparing management reports on EMEA Compliance’s monitoring and testing activities.
Maintain and develop knowledge of current and upcoming regulations to ensure monitoring and testing activities remain relevant.
Assist in advancing the EMEA Compliance Monitoring and Testing Programme in support of Global Compliance Monitoring and Testing Frameworks.
Conduct ongoing reviews and development of risk-based thematic and monitoring reviews to cover all relevant regulators and regulations, and to improve methodologies.
Collaborate with Global Compliance, Internal Audit, and Enterprise Risk to develop testing consistency or coordinate testing activities.
Apply data analytic techniques to perform monitoring and testing, increasing scale and depth of analysis, creating impactful visualizations, and exploring potential data relationships.
Participate in the development of requirements and assist in the implementation of automated tools to innovate and enrich compliance monitoring and testing activities.
Identify opportunities to scale and promote efficiencies and consistency in monitoring and testing activities across regions.

Requirements

Undergraduate Degree or equivalent
Prior compliance monitoring and testing or audit experience
Extensive working knowledge of compliance within the asset management industry
Knowledge of FCA regulatory framework
Strong verbal and written communication skills; presents ideas clearly, concisely, and persuasively, tailoring message and delivery to different audiences, including ability to present complex concepts into understandable and actionable points
Team player with excellent interpersonal skills who is able to build working relationships and influence a diverse group of internal and external contacts
Uses a variety of resources, best practices, and proven tools to generate innovative ideas to improve processes
Accountable for work of self and sometimes others, provides process and standards advice
Strong organization and prioritisation skills while executing multiple priorities simultaneously, accurately, and timely
Solid attention to detail, strong problem solving, analytical, organization, coordination, and creative and critical thinking skills
Project management capabilities
Familiarity with the regulatory and legal requirements of other jurisdictions (Luxemburg, Hong Kong, Japan and Singapore)
Good product knowledge – UCITS products, SICAV, OEIC and separate account services.

Skills

Compliance monitoring
Compliance testing
Audit
Asset management compliance
FCA regulatory framework
Verbal communication
Written communication
Interpersonal skills
Relationship building
Influencing
Process improvement
Accountability
Organization
Prioritization
Attention to detail
Problem solving
Analytical skills
Coordination
Creative thinking
Critical thinking
Project management
Regulatory knowledge (Luxemburg, Hong Kong, Japan, Singapore)
Product knowledge (UCITS, SICAV, OEIC, separate account services)
Data analytics
Risk assessment
Control evaluation
Remediation planning
Reporting
Collaboration

Location

EMEA

Work Type

Hybrid

Experience Level

Prior compliance monitoring and testing or audit experience
Extensive working knowledge of compliance within the asset management industry

Education Level

Undergraduate Degree or equivalent

About the Company

T. Rowe Price is an investment management firm.