T. Rowe Price

Baltimore, MD, 21278, USA

Requisition ID 3536 Full/Part Time Full Time Location Baltimore, MD Description PRIMARY PURPOSE OF THE POSITION:
This position is responsible for performing and/or managing one or more critical components of the investment compliance monitoring program such as rule development and testing, systems maintenance and enhancement, new account take-on, complex product monitoring, new instrument and new product evaluation, and/or compliance certification and reporting. The incumbent possesses the subject matter expertise, experience and judgment necessary to complete higher level responsibilities with considerable independence. The incumbent identifies and solves complex problems, works on various projects, identifies and implements process improvement opportunities, and builds relationships with associates across the firm. PRINCIPAL RESPONSIBILITIES:
Production Role:
* Utilizes subject matter expertise, experience and judgment to complete higher level responsibilities with considerable independence. * Performs and/or manages one or more critical components of the investment compliance monitoring program such as rule development and testing, systems maintenance and enhancement, new account take-on, complex product monitoring, new instrument and new product evaluation, and/or compliance certification and reporting. * Ensures adequate procedures and controls are established and followed in order to minimize risk. *Reviews the work of less experienced staff; shares knowledge and experience to help empower others. *Identifies, escalates and communicates issues that present risk. Proposes risk-reduction solutions. Problem Resolution:
*Proactively identifies issues within area of expertise and across the investment compliance monitoring program. *Effectively frames issues, proposes and implements creative solutions, and monitors for success. *Includes key stakeholders and communicates effectively. *Ensures end users and/or customers are satisfied with results. Projects/Process Improvement:
*Constantly reviews processes internal and ancillary to the Investment Compliance team and works to close gaps within processes in order to improve the accuracy and efficiency of the investment compliance monitoring program. *Identifies key resources and stakeholders in order to develop practical solutions. *Coordinates and leads working groups to accomplish desired process improvements. *Leads and participates in cross-functional projects. Build/Maintain Relationships:
*Cultivates strong day-to-day working relationships with customer and peer groups by demonstrating accountability, addressing concerns, following up and communicating effectively. *Works to resolve issues quickly. *Helps to educate others by sharing knowledge, experience and best practices. QUALIFICATIONS:
* College degree in related field (e.g. accounting, finance, etc)preferred * 5+ years of work experience in investment compliance or a related field preferred * Working knowledge of domestic and international securities law preferred * Experience with compliance and/or trading systems, preferably Charles River and/or ITG preferred * College degree and 1 year related work experience or Associate degree and 3 years related work experience or High school diploma/equivalent and 5 years related work experience required * Proven analytical and problem solving skills within the area of investment compliance or a related field * Ability to work effectively with individuals at all levels within the organization * Effective written and oral communications and negotiation skills * Demonstrated ability to work under pressure to meet deadlines * Demonstrated ability to identify process improvements and to manage change * Demonstrated ability to make decisions with limited information and guidance * Self-motivated and results-oriented * Strong commitment to high quality * Strong customer service orientation T. Rowe Price is an Equal Opportunity Employer

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