Senior Compliance Officer- ETFs and SMAs
Are you a seasoned compliance professional with a deep understanding of ETFs and SMAs? Are you looking for a challenging and dynamic role within a leading investment management firm? Look no further, as T. Rowe Price is seeking a Senior Compliance Officer to join our team! In this role, you will play a critical role in ensuring our ETFs and SMAs comply with regulatory requirements and industry best practices. With your expertise and guidance, we can continue to provide exceptional investment solutions to our clients. If you thrive in a fast-paced environment and have a strong passion for compliance, we want to hear from you!
- Develop and implement compliance policies and procedures for ETFs and SMAs in accordance with regulatory requirements and industry best practices.
- Conduct regular risk assessments and monitor compliance with applicable laws, regulations, and internal policies.
- Stay current on regulatory changes and industry developments related to ETFs and SMAs and communicate any updates to relevant stakeholders.
- Advise and provide guidance to the business on compliance issues and potential risks.
- Review marketing materials and communications to ensure compliance with regulatory guidelines.
- Conduct compliance training for employees to promote a culture of compliance within the organization.
- Collaborate with cross-functional teams to enhance compliance processes and controls.
- Conduct internal audits and respond to any compliance-related inquiries or investigations.
- Prepare and submit regulatory filings and reports as required.
- Act as a primary point of contact for regulatory exams and audits.
- Provide support and guidance to the compliance team as needed.
- Stay informed and up-to-date on changes in the regulatory landscape and industry best practices.
Minimum Of 7 Years Of Experience In Compliance Roles Within The Finance Industry, With A Focus On Etfs And Smas.
In-Depth Understanding Of Relevant Regulations And Laws, Including Sec Rules And Guidelines, Related To Etfs And Smas.
Strong Knowledge Of Industry Best Practices And Standards For Compliance In The Etf And Sma Space.
Proven Track Record Of Successfully Developing And Implementing Compliance Policies And Procedures.
Excellent Communication Skills And Ability To Collaborate With Cross-Functional Teams, Including Legal, Risk, And Portfolio Management, To Ensure Compliance Across All Aspects Of Etf And Sma Operations.
Data Analysis
Auditing
Relationship Management
Reporting
Risk assessment
Due Diligence
Compliance Training
Policy Development
Compliance monitoring
Regulatory Knowledge
Industry Standards
Investment Products
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
creativity
Critical thinking
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Senior Compliance Officer- ETFs and SMAs is between $125,000 to $175,000 per year. This range can vary depending on factors such as location, experience, and specific duties and responsibilities within the role. Senior Compliance Officers in larger cities or with more experience may earn salaries at the higher end of this range.
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T. Rowe Price Group, Inc. is an American publicly owned global investment management firm that offers funds, advisory services, account management, and retirement plans and services for individuals, institutions, and financial intermediaries.
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