Sr. Manager, Regulatory Advisory Compliance (Compliance Testing)

Requisition Number: 79909

Position Title:

External Description:

Role Summary

The Enterprise Compliance team is seeking a Senior Manager to join the North America Compliance Testing team. You will be responsible for executing regulatory compliance tests and supporting a risk-based program that demonstrates compliance with applicable laws and regulations. This will involve collaborating with Compliance, Legal, Internal Audit, and Risk colleagues, and consulting with business partners to identify compliance risks and proactively evaluate compliance controls.

The ideal candidate will possess deep knowledge and experience with the regulations and multiple disciplines involved in the operations of a global investment management firm. The Senior Manager will also partner closely and collaborate with Global Compliance colleagues to integrate and implement key components of compliance risk assessment, policy, monitoring, and testing frameworks. This is an opportunity for you to be an integral part of a global team and play a critical role in helping mitigate compliance risk and have a positive impact on the organization.

Responsibilities

• Plan, scope, and execute compliance tests within framework standards, applying a risk-based approach to evaluate whether the firm has appropriate policies and procedures, and whether controls are reasonably designed and operating effectively to comply with applicable laws
• Drive strategic thinking around emerging compliance risks to inform testing strategies and plans
• Identify opportunities to scale testing activities and promote efficiency across North America and other regions
• Lead innovative thinking and apply AI and data analytics to enhance testing methodologies, increase scale and depth of analysis, and create impactful visualizations to highlight potential compliance risks
• Build and maintain strong relationships with business partners and Global Compliance leaders, to support engagement and escalate significant compliance testing matters that require attention or action
• Support Global Compliance’s risk assessment process to identify, assess and mitigate compliance risks
• Support the firm’s broker‑dealer internal inspection program, including collaboration with relevant stakeholders and alignment with broader compliance testing activities

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience

• 8+ years of total relevant work experience

Preferred:

• Significant compliance, regulatory, risk management, or assurance testing experience within a global asset management or investment management organization
• Strong working knowledge of US regulations applicable to T. Rowe Price (e.g., SEC, ERISA, FINRA, NFA, CFTC)
• Demonstrated accountability for self and others to drive deliverables, with a proven ability to collaborate effectively and build strong working relationships with diverse stakeholders
• Excellent verbal and written communication skills, including the ability to clearly articulate complex regulatory and risk issues to stakeholders
• Active FINRA Series 7 and Series 24 licenses are a plus, demonstrating familiarity with broker-dealer regulatory requirements and branch examinations
• Strong analytical, critical thinking, and problem-solving skills, with a high degree of attention to detail while managing multiple priorities
• Proficiency in using data analytics, automation, or technology-enabled approaches to enhance testing
• Familiarity with EMEA and APAC regulations a plus (e.g., FCA, SFC, MAS)
• Strong leadership capability with experience influencing stakeholders and driving outcomes across functions and geographies

FINRA Requirements

FINRA licenses are not required. Existing FINRA licenses may be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

City:

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Community / Marketing Title: Sr. Manager, Regulatory Advisory Compliance (Compliance Testing)

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.