Investment Compliance Specialist

Job Description: PRIMARY PURPOSE OF POSITION The primary purpose of the Investment Compliance Specialist is to assist in the development and maintenance of the investment compliance monitoring program. The incumbent acts as a subject matter resource, manages various processes within the Investment Compliance team, reviews the work of less experienced associates, assists in the problem resolution process, identifies process improvement opportunities and provides ad hoc coverage for a majority of team functions.

PRINCIPAL RESPONSIBILITES
1. Acts as a subject matter resource to various business divisions (e.g. Equity, Fixed Income, Legal, MIS, etc.) and less experienced team associates by proactively supporting the development and maintenance of the investment compliance monitoring program and solving problems. Develops an understanding of the key internal and external customers of the Investment Compliance team and how the investment compliance monitoring program impacts these customers. Regularly interacts with and is highly visible to the team's key customer groups.
2. Manages various processes within the Investment Compliance team, such as the new account and amendment process.
3. Reviews the work of less experienced associates. Identifies researches and resolves complex compliance issues that require extensive business and system knowledge.
4. Assists in the problem resolution process. Represents the Investment Compliance team or assumes a lead role on cross-functional teams and/or smaller projects designed to resolve compliance or compliance-related issues.
5. Pro-actively identifies process improvement opportunities internal and ancillary to the Investment Compliance team. Proposes practical, well though out solutions. Assists in the implementation of process improvement solutions.
6. Provides appropriate coverage for a majority of the functions performed by the Investment Compliance group as requested.

QUALIFICATIONS

Proven analytical skills within the area of investment compliance or a related field

Strong attention to detail

Solid organizational skills

Solid interpersonal skills; effective written and oral communications

Demonstrated ability to work under pressure

Proficient in handling multiple tasks simultaneously

Strong research and problem-solving orientation

Commitment to quality

Strong customer service orientation

Self-motivated and results-oriented

College degree in related field (e.g. accounting, finance, etc)preferred

2-4 years of work experience in compliance preferred

Working knowledge of domestic and international securities law preferred

Experience with compliance and/or trading systems, preferably Charles River and/or Macgregor preferred

T. Rowe Price is an Equal Opportunity Employer

Searchable Keywords: Investment Compliance Specialist / gj-mo

Expected Travel Time: None