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About the Role

The Compliance Manager will execute T. Rowe Price’s EMEA Compliance monitoring and testing program, performing monitoring and testing to demonstrate compliance with applicable laws and regulations. This involves partnering with Compliance members, consulting with other assurance functions and business partners to identify compliance risks and proactively evaluate compliance controls. The ideal candidate will possess and demonstrate knowledge and experience with the regulations and multiple disciplines involved in the operations of an investment management firm.

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 in areas such as market abuse, best execution, ESG, CASS and Marketing Materials.
Perform thematic reviews based on key regulatory issues or best practice in the industry.
Ensure investigation and resolution of identified issues are closed out in a timely manner.
Monitor unresolved issues as appropriate.
Escalate significant issues and report summary findings to EMEA Compliance Advisory and EMEA CCO.
Identify and offer recommendations resulting from testing and collaborate with business partners to assist in developing remediation plans.
Document test work and draft reports describing testing performed and results.
Track the status of outstanding findings and work with business partners to obtain updates, ensure due dates are met, and confirm remediation.
Build and maintain strong relationships with business partners and Compliance leaders.
Assist in preparing management reports on EMEA Compliance’s monitoring and testing activities.
Maintain and develop knowledge of current and upcoming regulations.
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 ensure they cover all regulators and regulations relevant to the firm’s business and to improve and develop the methodologies.
Collaborate with Global Compliance, Internal Audit and Enterprise Risk sharing ideas to develop testing consistency or coordinate testing activities.
Apply data analytic techniques to perform monitoring and testing to increase scale and depth of analysis, create impactful visualisations, and explore potential data relationships.
Participate in the development of requirements and assist in implementation of automated tools to innovate and enrich compliance monitoring and testing activities for Global Compliance.
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 the 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 industry 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 products, SICAV, OEIC, separate account services)
Data analytic techniques

Location

EMEA

Work Type

Hybrid
Up to one day a week from home

Experience Level

Manager

Education Level

Undergraduate Degree or equivalent

Benefits

Resources to support career path
Compensation
Benefits
Flexibility

About the Company

At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world.
As 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 so our clients can feel more confident.
We believe doing the right thing for our clients and our associates is good business.
With a career at the firm, you can expect opportunities to create real impact at work and in your community.
You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life.
Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.
Join us for the opportunity to grow and make a difference in ways that matter to you.

Equal Opportunity

At T. Rowe Price, our associates are our greatest asset.
We thrive because our company culture is built on inclusion and because 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.
Here, you can expect equal opportunity and fair and consistent treatment for all.
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.