Job Information
T. Rowe Price Senior Compliance Officer- ETFs and SMAs in Baltimore, Maryland
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, y ou can expect opportunities to create real impact at work and in your community. Y ou’ll enjoy resources to support your career path, a s well as compensation , benefits , and flexibility to enrich your life. Here, you’ll find a collaborative culture that respect s and valu e s differences and colleagues who share a spirit of generosity .
Join us for the opportunity to g row and make a difference in ways that matter to you .
About This Position
We are seeking a collaborative and inquisitive professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded Funds (ETFs) and separately managed account (SMA) platforms. 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 and providing consultation to stakeholders regarding the firm’s products by serving as the subject matter expert in assigned product lineup.
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.
Qualifications
Required:
Bachelor’s degree or the equivalent combination of education and relevant experience AND
10+ years of total relevant work experience
Preferred:
Bachelor's degree in finance, business administration, law, or a related field; advanced degree or professional certifications (such as CFA, CPA, or JD)
12+ years of experience in compliance within the investment management or financial services industry, with a focus on regulatory compliance
Expertise with the Investment Company Act of 1940 (including Rule 6c-11), Securities Exchange Act of 1934, and CFTC
Knowledge of the regulatory rules of the exchanges on which the ETF products are traded (e.g. New York Stock Exchange (NYSE))
Prior experience providing compliance guidance on transparent and/or semi-transparent, active Exchange-Traded Funds (ETFs).
Experience supporting separately managed account platforms (SMAs) a plus.
Proven track record of designing and implementing compliance programs and controls within a complex organization.
Demonstrated leadership qualities and ability to influence and inspire a culture of compliance, with excellent analytical and problem-solving skills to identify and mitigate compliance risks effectively.
FINRA Requirements
FINRA licenses are preferred and may be supported for this role.
Work Flexibility
Candidates are required to work out of either the Baltimore , Maryland, Owings Mills, Maryland, or New York City office location in a hybrid arrangement, with up to two days per week from home.
Base Salary Ranges
Please review the job posting for the location of this specific opportunity.
$140,000.00 - $239,000.00 for the location of: Maryland, Colorado, Washington and remote workers
$154,000.00 - $264,000.00 for the location of: Washington, D.C.
$175,000.00 - $299,000.00 for the location of: New York, California
Placement within the range provided above is based on the individual’s relevant experience and skills for the role . Base salary is only one component of our total compensation package . Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.
Commitment to Diversity, Equity, and Inclusion
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.
Benefits
We value your goals and needs, at work and in life. As an associate, you’ll be supported with resources , benefits , and work-life balance so you can thrive in ways that matter to you .
Featured employee benefits to enrich your life:
Competitive compensation
Annual bonus eligibility
A generous retirement plan
Hybrid work schedule
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits
Learn more about our benefits. (https://www.troweprice.com/corporate/us/en/careers/benefits.html)
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.