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Lead Manager, GIO Risk and Compliance at T. Rowe Price in Baltimore, Maryland

Posted in General Business 30+ days ago.

Type: Full-Time





Job Description:

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.

We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.

If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

ABOUT THIS POSITION

The Lead Manager for GIO - Risk and Compliance develops and manages the strategic operational risk management program for Global Investment Operations (GIO) to ensure that sound practices and procedures are in place across all GIO locations and processes globally. This position leads, directs and consults with business managers throughout Enterprise Risk and GIO, including Investments Middle Office and Fund Accounting, regarding the planning, implementation, and monitoring of compliance and risk management requirements identified by Senior management, Firm-wide Compliance, Legal, Internal Audit, Product Management, and Enterprise Risk.

The position uses business experience and judgment to implement compliance and risk management initiatives to continuously enhance the program. The position manages a variety complex issues and requests and acts as the liaison to Legal & Firm-wide Compliance, auditors, and regulators to mitigate compliance/risk-related concerns. Additional areas of focus include incident management and reporting, business continuity, data privacy, and access controls.  

The Lead Manager - GIO Risk and Compliance will manage a small team. 

ROLE SUMMARY

Responsible for the coordination of the enterprise risk management framework within Global Investment Operations. Identifies and recommends new or enhanced policies, practices, and procedures. Partners with business to establish risk assessment plans and facilitates and coordinates the analysis and reporting summaries of business errors.

RESPONSIBILITIES


  • Assists the assigned business line with the identification, assessment, and mitigation of risks and helps to identify and implement controls to manage emerging issues. Monitors compliance and assigns routine monitoring responsibilities through less experienced managers. Develops a variety of complex assessment reports and delivers these to management with resolution or mitigation alternatives.


  • Reports incidents as needed that need to be reviewed by committees. Contributes to the discussions at these risk committees to validate root cause and ensure that effective mitigation efforts are implemented moving forward.


  • Works with the business line to identify and document risks and mitigation actions around accepting new business in unusual circumstances.


  • Ensures business process and product changes are completed appropriately. Recommends modifications to decrease risks inherent to the process or product change


  • Contributes to efforts to develop a strong organizational risk culture and further develop the function's effectiveness as a second line of defense for the business or legal entity


Required


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


  • 8+ years of total relevant work experience


Preferred


  • Advanced degree or professional designation


  • Prior Investment Operations, Middle Office, or Operational Risk experience at a large asset manager


  • Strong influencing skills


  • Prior experience with new product or capability development and implementation, process improvement, change management


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

T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits.Please view What We Offer to see what's available to you.

As part of T. Rowe Price’s Health and Safety protocols, effective October 19, 2021, any US-based new hires, including interns will be required to be fully vaccinated against COVID-19 or have a valid medical or religious exemption from receiving a COVID-19 vaccine.

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.





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