Specialist, Investment Compliance

Job Description:Primary Purpose of the Position:The Investment Compliance Specialist assists 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 Responsibilities:1. Acts as a subject matter resource to various business divisions (e.g. Equity, Fixed Income, Legal, Marketing Investment Services, 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: High school diploma or equivalent and a minimum of 3 years related work experience, or college degree 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 preferredT. Rowe Price is an Equal Opportunity EmployerExpected Travel Time: None Company: T. Rowe Price Location: Baltimore, MD 21201 Status: Full Time, Employee Job Category: Legal Reference Code: 3228 Send this Job to a Friend Click here to see all T. Rowe Price opportunities Learn more about T. Rowe Price If you want to work in an environment that encourages professional development, continued learning and advancement throughout your career, apply today. T. Rowe Price is an Equal Opportunity Employer.