Investment Compliance - Senior Associate

Job Description: PRIMARY PURPOSE OF POSITION Monitor investment compliance restrictions on a pre- and post-trade basis including, regulatory, prospectus, client-directed and TRP internal guidelines applicable to various investment products. Directs one or more staff responsible for various compliance monitoring functions for many types of investment products.

PRINCIPAL RESPONSIBILITIES
1. Prepare, sign off, and distribute monthly compliance check list for sub-advised clients.
2. Monitor pre-trade and post-trade compliance using various systems, including the Charles River Compliance Master and Macgregor Rule Expert systems. Reviews all alerts or warnings generated by the systems, and determines what action to take (i.e. fix with in department, contact Legal or kick back to Investment Liaison).

3. For such cases as the alert or warning can be corrected with in department: identify potential coding issues and send to internal group to correct, verify data is feeding from GPS is correct and disburse to reference data, or review Legal documents to determine if a violation has occurred.

4. Oversee day to day function of one or more associate and provide training, guidance and support. Review associate's daily work.
5. Prepare and verify information for quarterly board kits for sub-advised clients related to compliance.


QUALIFICATIONS

Proficient in handling multiple tasks and projects simultaneously

Demonstrated ability to collaborate in a team environment and build strong relationships

Demonstrated initiave to proactively initiate process improvement opportunities

Self - starter

Ability to manage day-to-day activities with minimal supervision

Grasps complexities and perceives relationships among issues

Demonstrated proficiency in basic software applications and technology

Demonstrated ability to effectively delegate to entry-level staff

Bachelor's degree in accounting/finance preferred

1-2 years mutual fund industry and/or compliance experience preferred

Knowledge of relevant regulatory acts preferred

T. Rowe Price is an Equal Opportunity Employer

Searchable Keywords: Investment Compliance - Senior Associate / gj-mo

Expected Travel Time: None