Compliance Officer - Lux
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. POSITION PURPOSE
T. Rowe Price (Luxembourg) Management S.à r.l. is a Luxembourg based Super Management Company belonging to the T. Rowe Price Group.
In the context of its continuing development in Europe and in Luxembourg in particular, the Company is looking for a Senior Compliance Analyst. Principal Responsibilities
Under the supervision of Conducting Officer responsible for Compliance your main responsibilities will be :
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS
- Giving guidance and advice to the management and business partners regarding European and Luxembourg laws and Regulations
- Ensuring that the Funds, the Management Company and its branches are managed and operate in compliance with relevant rules and regulation and group standards and that the compliance framework of the Management Company is adequate. Ensuring that interests of shareholders of Luxembourg Funds are preserved.
- Participating to the definition of the compliance control plan, running and/or overseeing compliance testing and reviews in collaboration with other teams and locations and escalating exceptions to senior management,
- Identifying and implementing improvement of compliance controls and checks. Improving process on internal compliance with a focus on Companywide procedures and policies.
- Keeping up to date and regularly review Company's policies standard and procedures.
- Overseeing the compliance controls within the Delegates and services providers, including periodic reviews..
- Providing assessment launch of product or business proposals.
- Preparing compliance reporting for local senior management, board of directors, senior committees, boards of directors, the group and the regulators
- Coordinating the regulatory survey of the Company. Defining and implementing adequate training support.
- Overseeing the Investment Compliance and Marketing Compliance activities.
- Being an active contributor to the global compliance and EMEA functioning.
- Participating or leading projects linked to regulatory changes (Sustainable finance as an example).
- Participating to different committees and working groups representing compliance.
- Participating to the Distribution oversight monitoring.
- Relevant degree or the equivalent combination of education and relevant experience
- Ideally 5+ years of total relevant work experience, ideally within a Compliance or Legal function
- Good knowledge and understanding of regulation applicable to Management companies in EU27 and in Luxembourg.
- Good understanding of the Fund Industry and of Financial Markets in general.
- Language English: Fluent mandatory ; French: Preferred; German will be a plus
- individual attributes contemplated :
- Very good documentation skills.
- Good relationship, initiative spirit in a multicultural and international environment.
- Good communication skills (verbal and written)
- Attentive to details, flexible, capable of prioritizing tasks and exercising sound judgment and creativity in finding solutions.
Curiosity and eager to learn.
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.