Senior Compliance Officer- ETFs and SMAs

Requisition Number: 73928

Position Title:

External Description:

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.

City:

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Community / Marketing Title: Senior Compliance Officer- ETFs and SMAs

Company Profile:

Location_formattedLocationLong: Maryland, US

CountryEEOText_Description: Commitment to Diversity, Equity, and Inclusion: We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day. Benefits: We invest in our people through a wide range of programs and benefits, including: • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, vision) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering. 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.