Senior Manager, Regulatory Advisory Compliance

At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident.

We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community. You'll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you'll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.

Join us for the opportunity to grow and make a difference in ways that matter to you.

POSITION PURPOSE:

The primary purpose of a Compliance Officer is to support the APAC Compliance Team to ensure that the APAC operations of T. Rowe Price comply with relevant legislation and regulations. The role is based in Sydney with primary focus on Australia regulatory matters but may also assists the APAC Compliance team to provide supports in the region.

PRINCIPAL RESPONSIBILITIES:

• Supporting the business conducted in Australia and within the APAC region in remaining compliant with relevant laws and regulations. Act as a contact point for questions related to regulatory matters.
• Driving the identification, assessment and mitigation of compliance risks by designing, enhancing and advising on compliance program, internal controls and internal work process.
• Establish, review and enhance on the compliance frameworks/policies of the business activities and initiatives in the APAC region. Advising business to implement the compliance frameworks/policies.
• Responsible for tracking and leading regulatory change projects relating to Australia.
• Building out and performing periodic monitoring/surveillance according to relevant regulations and internal policies.
• Liaising with ASIC and Responsible Entity as and when necessary. Handling notifications and enquiries to/from regulators.
• Act as the AML/CTF Compliance Officer for TRP Australia

• Assists other team members when needed to support core compliance work, including but not limited to

• Providing advice on Code of Ethics matters

• Resolving breaches and incidents
• Providing Compliance training
• Complaints handling
• Compliance responses to client due diligence requests and RFPs
• Review of marketing materials

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:

• University graduate
• 10-15 years relevant compliance experience, preferably in the asset management industry
• Knowledge of relevant regulations in Australia (and other jurisdictions in Asia is a plus)
• Ability to work under pressure and produce timely results independently
• Team player who is able to build working relationships and interact with a diverse group of internal and external contacts
• Good analytical skills and ability to make critical, time sensitive decisions
• Effective communication skills (verbal and written)

Commitment to Diversity, Equity, and Inclusion:

At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all.

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, colour, 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.