Director - Regulatory Advisory Compliance - North America Compliance
T. Rowe PriceBaltimore, MD
Security verification
T. Rowe Price Baltimore, MD
1 week ago
See who T. Rowe Price has hired for this role
Security verification
Save job
Welcome back
Sign in to save Director - Regulatory Advisory Compliance - North America Compliance at T. Rowe Price.
Report this job
There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.
About this PositionWe are seeking a highly skilled and experienced professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses. This role will be responsible for assisting the Head of North America Compliance in developing and maintaining an effective compliance program that ensures adherence to legal and regulatory requirements within the investment industry.
Responsibilities
Assist the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, regulations, and guidelines.
Collaborate with various departments to develop, implement, and maintain policies and procedures that promote compliance with regulatory requirements and industry best practices.
Stay up to date with changes in regulatory requirements and industry trends to provide guidance and expertise on compliance matters.
Assist in the development and delivery of compliance training programs to educate associates on relevant laws, regulations, and policies.
Collaborate with other assurance partners to advice the business on compliance and regulatory matters.
Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and coordinating regulatory examinations.
QualificationsRequired:
Bachelor's degree in finance, business administration, law, or a related field.
12+ years of experience in compliance within the investment management or financial services industry, with a focus on regulatory compliance.
Preferred:
Advanced degree or professional certifications (such as CFA, CPA, or JD)
Strong knowledge of relevant laws, regulations, and guidelines, including but not limited to SEC, FINRA, and other regulatory bodies
Proven track record of designing and implementing compliance programs and controls within a complex organization
Excellent analytical and problem-solving skills with the ability to identify and mitigate compliance risks effectively
Exceptional communication and interpersonal skills to effectively collaborate with stakeholders at all levels
Ability to work independently and manage multiple priorities in a fast-paced, dynamic environment
Strong attention to detail and organizational skills to ensure accurate reporting and documentation
Demonstrated leadership qualities and ability to influence and inspire a culture of compliance
FINRA Requirements
FINRA licenses are preferred and may be supported for this role.
Work Flexibility
This role is eligible for remote work up to two days a week.
Commitment to Diversity, Equity, and Inclusion:We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day.
Benefits: We invest in our people through a wide range of programs and benefits, including:
Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions
Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.
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, color, 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.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Consulting and Legal
Industries
Financial Services and Investment Management
Referrals increase your chances of interviewing at T. Rowe Price by 2x
See who you know
Get notified about new Director Regulatory Compliance jobs in Baltimore, MD.
Sign in to create job alert
Similar jobs
Director of Intellectual Property Strategy and Legal Counsel
Director of Intellectual Property Strategy and Legal Counsel
JDHuntr In-House Counsel Jobs
Columbia, MD
General Counsel - global software company
General Counsel - global software company
Canonical
Baltimore, MD
Regional Director of Compliance
Regional Director of Compliance
University of Maryland Medical System
Baltimore, MD
Associate General Counsel, Litigation and Employment Law
Associate General Counsel, Litigation and Employment Law
KCI Technologies, Inc.
Sparks, MD
Associate General Counsel - BSC (Hybrid)
Associate General Counsel - BSC (Hybrid)
Exelon
Baltimore, MD
Insourced Solutions for Tax - Controversy & Regulatory Director
PwC
Baltimore, MD
Associate General Counsel - Intellectual Property Focus
Associate General Counsel - Intellectual Property Focus
JDHuntr In-House Counsel Jobs
Baltimore, MD
Vice President Compliance
Vice President Compliance
APG Federal Credit Union
Edgewood, MD
General Counsel
General Counsel
Sheppard Pratt
Towson, MD
Director of Chemical and Biological Regulatory Affairs
Director of Chemical and Biological Regulatory Affairs
Agilent Technologies
Annapolis, MD $146,640.00 - $270,368.00
Director, Contracts & Pricing
Salas O'Brien
Baltimore, MD
Associate General Counsel, Chief Labor & Employment
W. R. Grace
Columbia, MD
Associate General Counsel
Associate General Counsel
American Urological Association
Linthicum Heights, MD
People also viewed
General Counsel
General Counsel
JDHuntr In-House Counsel Jobs
Baltimore, MD
Executive Director of Compliance
Executive Director of Compliance
Johns Hopkins Health Plans
Hanover, MD
Managing Attorney, Associate General Counsel (Non-Civil) - Department of Housing and Community Development
Managing Attorney, Associate General Counsel (Non-Civil) - Department of Housing and Community Development
City of Baltimore
Baltimore, MD $90,895.00 - $145,365.00
Director Regulatory Affairs
Director Regulatory Affairs
Flexible Packaging Association
Annapolis, MD $75,000.00 - $85,000.00
Director of eDiscovery
Director of eDiscovery
CGS Federal (Contact Government Services)
Baltimore, MD
Director of Employment Legal Compliance & Counsel
JDHuntr In-House Counsel Jobs
Baltimore, MD
Similar Searches
Head of Legal Compliance jobs 1,612 open jobs
Director of Patient Services jobs 34,974 open jobs
Head of Regulatory Affairs jobs 1,264 open jobs
Director of Compliance jobs 35,643 open jobs
Compliance Officer jobs 25,641 open jobs
Corporate Compliance Manager jobs 15,187 open jobs
Director of Regulatory Affairs jobs 2,520 open jobs
Technical Director jobs 48,001 open jobs
Adjunct Professor jobs 7,130 open jobs
Chief Information Security Officer jobs 2,692 open jobs
Director of Security jobs 14,594 open jobs
Director jobs 1,374,979 open jobs
Head jobs 1,135,865 open jobs
Chief Compliance Officer jobs 4,853 open jobs
Vice President jobs 243,153 open jobs
Regulatory Compliance Manager jobs 18,694 open jobs
Risk Director jobs 18,057 open jobs
Director of Quality jobs 59,948 open jobs
Director Global Regulatory Affairs jobs 1,175 open jobs
Safety Director jobs 27,982 open jobs
Regulatory Affairs Specialist jobs 9,451 open jobs
Human Resources Director jobs 19,942 open jobs
Assistant Director jobs 142,731 open jobs
Director Information Security jobs 5,617 open jobs
Regulatory Counsel jobs 32,011 open jobs
Explore collaborative articles
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
Address: Suite 461 73643 Sherril Loaf, Dickinsonland, AZ 47941-2379
Phone: +2678139151039
Job: International Administration Supervisor
Hobby: Dowsing, Snowboarding, Rowing, Beekeeping, Calligraphy, Shooting, Air sports
Introduction: My name is Catherine Tremblay, I am a precious, perfect, tasty, enthusiastic, inexpensive, vast, kind person who loves writing and wants to share my knowledge and understanding with you.
We notice you're using an ad blocker
Without advertising income, we can't keep making this site awesome for you.