Supervisor, Compliance Services & Regulatory Reporting

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference.  ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

Role Summary

Supervises a small team of support or entry-level professional associates who develop the content for compliance and risk management programs and monitor adherence to firm and regulatory standards

Responsibilities:

Implements protocols for the resolution of breaches in operational compliance standards. Coaches team to understand and apply protocols. Compiles findings and reports trends to senior management

Instructs and directly oversees staff in gathering materials and conducting analyses in support of internal audit activities. Instructs staff on specific government reporting requirements.

Tracks and reports on team metrics and results; coaches and guides assigned staff on identifying fraudulent behavior or breaches in compliance protocols and interacts with internal and external parties to manage resolution.

Instructs staff in methods to improve their responses to issue resolution and breach identification.

Recruits, directs, motivates, and develops staff, maximizing their individual contribution, their professional growth, and their ability to function effectively with their colleagues as a team.

Qualifications:

Required:

Bachelors degree or the equivalent combination of education and relevant experience AND

3 years of total relevant work experience

Preferred Qualifications:

Financial Services and Leadership Experience

Written and oral communication skills

Time-management skills and effective ability to prioritize

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

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

Base salary ranges:

$95,500.00 – $163,500.00 for the location of: California, New York

$84,000.00 – $143,000.00 for the location of: Washington, D.C

$76,000.00 – $131,000.00 for the location of: Colorado, Maryland, Washington and all other US locations

Placement within the range provided above is based on the individual’s relevant experience and skills for the role . Base salary is only one component of our total compensation package . Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

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 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.