Senior Analyst, Investment Compliance
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. PRINCIPAL RESPONSIBILITIES
Act as a key Investment Compliance point of contact for investment personnel, Client Account Management, relationship managers, Product, Legal, and Regulatory Compliance across in Australia, particularly to work on new account onboarding and guideline amendments as follows:
- Work closely with Client Account Management, Relationship Management, Product, Legal and Regulatory Compliance on the new account onboarding of Australian Unit Trusts and Asia-Pac domiciled client mandates.
- Closely monitor the new account pipeline and liaise with other Investment Compliance team members to ensure the account onboarding can be completed in a timely manner.
- Assist in facilitating the integration of new business into the investment compliance monitoring program for Asia-Pac clients which may be subject to complex investment restrictions and regulatory requirements, including fixed income, derivatives and legal regulations.
- Review investment restrictions in proposed new account/product documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed.
- Collaborate with investment personnel to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
- Collaborate with investment personnel to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio.
- Preferably, possess technical skills to program logic-based rules in the Charles River compliance system in order to effectively monitor client and regulatory requirements and work closely with other rule coders based in HK, UK & US.
- Work to improve the client experience with respect to the implementation of investment guidelines by advocating process enhancements internally and with Client Account Management and Product.
Responsible for pre-trade & post-trade monitoring activities of investment guidelines in support of the Asia-Pac offices including but not limited to:
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS Required:
- Provide consultative compliance support to the Equity and Fixed Income investment business and support functions in Asia Pacific region. Act as a key point of contact for investment personnel in Australia for questions related to investment compliance matters during Asia-Pac trading hours.
- Review compliance exceptions in a timely manner/within established deadlines, providing subject matter expertise and communicating critical information to investment personnel (Portfolio Managers, Analysts, Traders and Investment & Trading Solutions).
- Report and escalate compliance breaches internally. Collaborate with investment personnel, Investment Operations, Client Account Management, Legal and Risk to resolve compliance issue where appropriate.
- Handle due diligence questionnaires, regular reporting to internal stakeholders.
- Work closely with the Investment Compliance monitoring teams based in HK/Japan/UK/US.
- University graduate
- Minimum of 3 years relevant investment compliance experience
- Solid experience in the investment management industry
- Prior experience with trading/compliance systems, such as Charles River
- Solid knowledge of securities instruments, fixed income and derivatives is a must
- Ability to work under pressure and produce timely results independently
- Team worker who must be 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
- Strong communication skills
- Working hour flexibility
- Prior experience in dealing with investment personnel, including trading teams
- Knowledge of other regulatory jurisdictions (e.g. UCITS,1940 Act, etc.)
- Hands-on experience in coding investment guidelines using vendor compliance systems (such as Charles River)
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.