Global Investment Services Compliance Specialist
T. Rowe Price Investment Services, Inc. - Baltimore, MD

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The Global Investment Services(GIS) Compliance Specialist works in collaboration with GIS management on the development and integration of compliance and risk management controls into GIS processes, policies and procedures. The position manages high profile and sometimes complex projects and assignments. The position independently facilitates discussions with a range of associates from entry-level up to managers across the global organization and presents guidance to GIS managers to enhance collective knowledge of critical risks, compliance controls, control gaps, and potential solutions. The position leads and manages monthly, quarterly and annual data audits. The incumbent will also work on various special projects, sometimes serving as the lead, and ad hoc analysis required in connection with the operational functions of the department.

Serves as a primary point of contact for GIS Associates in support of the GIS compliance program. Independently exercises judgment and discretion to analyze various processes to identify risks and areas of potential exposure and raises these issues to the attention of the Compliance Manager for further guidance. Proactively provides direction to management and staff to identify and influence policy changes necessary as a result of risk assessments, regulatory changes and audit findings (internal and external). Requires presenting to various levels of management throughout the organization on a wide range of risk management and compliance related topics, influences management to make decisions in areas where changes are necessary.

Works independently to review unique and complex business processes for risk specific to monitoring the adherence of expense policies, regulatory changes, audit findings and other processes as needed. Demonstrates thorough knowledge of information and appropriately represents policy to associates at all levels.
Interacts with attorneys in the Legal Department in order to interpret impact of regulatory changes and develops an appropriate course of action for business unit. Prior to regulation effective date, creates project plan, reviews and analyzes specific business process, disseminates information to impacted parties and implements necessary changes. In addition, develops and maintains ongoing governance of the process.

This position will back-up the GIS Compliance Manager as needed. Business Analyst will represent GIS on the Client Review Committee (CRC) as a voting member. Analyst will present on behalf of GIS client facing associates to the committee, as needed for new client applications, redemption fee waivers, etc.

Incumbent will work to challenge existing business processes in order to enhance group productivity/efficiency, reduce data redundancies and better leverage technology while maintaining data integrity. Business Analyst will have a thorough understanding of the various sources of data across the firm and will work to leverage these data sources to improve reporting quality, processes and controls within GIS. This role will be required to produce project plans, timelines and presentations as needed for projects. Analyst will also participate on cross functional/departmental project teams related to our client relationship management (CRM) system. Project teams work on initiatives to further develop and enhance the productivity of the system and to further enhance user adoption of the system.


Bachelor’s degree preferred; Business Administration/Management
Advanced MS Office skills
Knowledge of Business Objects
Knowledge of industry regulations
Project management experience

College degree preferred.
Excellent oral and written communication skills, including the ability to construct organized, well written documents that provide the appropriate level of detail/information to meet the target audience’s needs.
High degree of attention to detail and accuracy.
Proven ability to form and foster strong positive business relationships.
Ability to analyze business process for risk and regulatory change impact.
Demonstrated ability to successfully prioritize in order to meet deliverables.
Ability to work under pressure and meet deadlines
Ability to work independently
Self-motivated and self-directed while possessing experience in successfully working with cross functional teams.
T. Rowe Price is an Equal Opportunity Employer


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T. Rowe Price Group administers an eponymous family of about 100 mutual funds in a variety of investment styles. Traditionally oriented...