Compliance Analyst, Regulatory Advisory Compliance - 6 Months Ftc

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.

POSITION PURPOSE

The primary purpose of the Compliance Analyst is:

• To support the Europe, Middle East and Africa (EMEA) Compliance Department in the effort to ensure the EMEA operations of T. Rowe Price comply with relevant legislation and regulation.
• Support all areas of the T. Rowe Price business including Investments, Corporate organization and governance, Distribution and Product. There will be enhanced focus on the Product and Distribution Divisions as part of the EMEA (UK and Luxembourg) Compliance Department liaison role to strengthen relationships and provide advice on first line controls.
• In conjunction with the Legal team to review and understand current industry compliance issues and assess impact on assigned business units.  
   

Principal Responsibilities

• Assist the Compliance Managers with providing consultative compliance support and advice to the firm’s Different business lines and senior management bodies
• Assist with the ongoing monitoring of jurisdictional regulatory changes and impact analysis, with a view to issuing advice and guidelines to the business in relation to the markets in which it operates
• Works closely with other areas of the legal and compliance teams to keep them abreast of changes that are being disseminated to the business
• Assisting Compliance Managers and Attorneys within Legal department in the EMEA region, with regulatory change projects.
• From time to time assisting the Compliance Monitoring Team with surveillance or thematic reviews.

Works to ensure that the business conducted within EMEA region complies with relevant laws and regulations including:

• Reviewing over the wall requests/market soundings from brokers and advising the investment business on issues that may involve material non-public information and making additions to or removals from the Restricted List.
• Licensing (at the corporate level).
• Assisting with regulatory reporting for the firm, across the EMEA region
• Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules.
• Assisting with management of regulatory inspection visits and requests for information.
• Maintaining knowledge of regulatory developments and implement any required business changes.
• Developing and enhancing policies procedures for the business to ensure compliance with regulatory or market developments. Documenting and administering procedures as required.
• Work closely with other areas of the business to ensure appropriate review and resolution of complaints.
• Coordination of Compliance responses to client due diligence requests and Requests for Proposals.
• Assisting Compliance associates and Attorneys within Legal department in the EMEA region with team or firm-wide change projects.

Provides consultative support and advice on Code of Ethics and Conduct (“Code”) related matters including:

• Providing advice on policy with regards to reporting and prior clearing gifts and entertainment.  Uses judgment to determine when and how policy should be applied in atypical scenarios.
• Providing advice to the business when conflicts of interest may arise. Using judgment to determine appropriate action to manage any such conflict.
• Providing Compliance training to new associates joining the firm and to existing staffs when required
• Assisting with the development and roll-out of new training initiatives within the Compliance Department.

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

Required:

• Good understanding of the Fund Industry and of Financial Markets in general
• Bachelor's degree or the equivalent combination of education and relevant experience.
• At least 2+ years working knowledge of compliance within the asset management industry.
• This role requires strong skills in working independently and when required colloborating with other team members to complete tasks and projects.
• Knowledge of FCA and/or EU regulatory framework with direct relevant experience.
• Ability to handle heavy workload under tight timeframes and prioritize appropriately.
• Good verbal and written presentational skills.
• Attention to detail when responding to queries and working on projects.
• Analytical skills allied with creative thinking.
• Excellent interpersonal and influencing skills.

Preferred:

• Good understanding of regulatory framework for cross-border sales and distribution activities within EMEA region
• Working knowledge of UCITS, AIFMD, SFDR and CASS.
• Good understanding of the UK/European sustainable investing landscape and the various initiatives.
• Good product knowledge – UCITS products and US mutual funds, separate account management.
• Working knowledge of other regulatory topics is advantageous, including: IFPR, MiFID II, Operational Resilience, Securitisation Regulation, CSDR, DORA.
• Project management capabilities would be advantageous.

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.

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.