Description
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.
The Investment Compliance associate collaborates with, and provides information to a diverse range of stakeholders, including investment personnel, legal counsel, client operations managers, and other internal and external partners.
Principal Responsibilities
Trading/Portfolio Compliance
- Reviewing compliance exceptions in a timely manner, providing subject matter expertise and communicating critical information to a diverse range of stakeholders.
- Investigating, reporting and escalating compliance breaches internally.
- Providing consultative compliance support to the Equity, Fixed Income and Multi-Asset investment business and support functions in Asia Pacific region.
- Demonstrating initiative and independently thinking by regularly reviewing processes to identify areas of risk and potential improvement.
- Working closely with the compliance monitoring team based in the UK & the US.
- Providing regular reporting to internal stakeholders.
- Completing manual monitoring and/or client compliance certifications.
Rule Building
- Programming logic-based operational rules in Charles River upon the request of relevant stakeholders.
- Programming logic-based rules in Charles River in order to effectively monitor client and regulatory requirements.
- Collaborating with investment staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio.
- Evaluating compliance system functionality and available data elements to determine how restrictions can be captured in the compliance systems.
- Working closely with the rule building teams based in the UK & the US.
Personal Attributes / Skills / Qualifications
Required:
- Bachelor's degree or the equivalent combination of education and relevant experience.
- Minimum of 3 years relevant investment compliance experience.
- Solid experience in the investment management industry.
- Knowledge of MPF, UCITS, 1940 Act, Japan JITA.
- Prior experience with trading/compliance systems, such as Charles River.
- Solid knowledge of securities instruments, fixed income.
- Ability to adapt and thrive in a dynamic environment with evolving priorities.
- 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.
- Good command of spoken and written English and Chinese.