Sr. Analyst, Regulatory Advisory Compliance Reporting

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

Role Summary

Legal Compliance Firm Ownership (LCFO) is responsible for critical firm functions related to the beneficial ownership monitoring for trading compliance support and global regulatory reporting. The LCFO team closely monitors firm and entity level aggregate ownership in equity securities to ensure compliance with various federal, state, and global regulatory limits and requirements, individual corporate-imposed ownership levels (e.g., shareholder rights plans) and internal risk management policies and practices. The team is broken down into 2 functions: Trade Desk Monitoring and Regulatory Filings.

This position sits within the Trade Desk Monitoring team which plays a crucial role in reviewing investment activities as it relates to beneficial ownership compliance restrictions coded into the firm’s investment compliance monitoring system, Charles River (CRD).

The Legal Compliance Firm Ownership Senior Analyst collaborates with, and provides information to a diverse range of stakeholders, including TRPA and TPRIM trading personnel, legal counsel, and other internal and external partners.  The analyst also participates in and manages projects assigned by the Legal Compliance Firm Ownership team.

Responsibilities

• Communicate effectively through direct interaction with Trading, Investment, and Legal associates, demonstrating a strong understanding of global compliance requirements

• Provide support to TRPA and TPRIM trade desks by monitoring and managing beneficial. ownership CRD compliance alerts which include 3 CRD rule sets (TRPALL, TRPA, and TRPIM).

• Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility.  When necessary, liaise with trading, legal, and/or investment personnel by assisting with interpretation of guidelines.

• Conduct company reviews of regulatory filings (e.g. 10-K, S1, 8-K, etc.) and partner with Legal to determine relevant ownership limits for each security based on certain review thresholds.

• Responsible for setting and maintaining TRPALL, TPRA, and TRPIM ownership limitations in CRD and the Aggregate Ownership tool.

• Responsible for maintenance of the Aggregate Ownership tool which is a data source that feeds to several trading dependent production systems including LENS, Trading Capacity Tool, and Risk tool.

• Oversee and manage manual process items not coded into CRD or the Aggregate Ownership Tool.

• Maintain TRPA and TRPIM restricted lists in CRD and Control Room.

• Act as a beneficial ownership resource for internal partners (TRPA and TPRIM Trading Desk & ITS, Risk, LCE, Capital Markets Team, RFP, global compliance teams).

Process Improvement

• Continuously seeks opportunities to enhance efficiency: Actively identifies process improvement opportunities

• Champions risk reduction: Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient

• Drives automation and innovation: Recommends and implements solutions to automate manual processes, integrate new compliance functionality and leverage data as a result of system upgrades

• Partners closely with technology team to automate and enhance manual processes

• Fosters knowledge sharing and collaboration: Develops deep knowledge in the Charles River system, Aggregate Ownership Tool, or other compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team

• Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges

• Contributes to rule optimization: Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective

Projects

• Leads and collaborates on projects: Takes ownership of projects of moderate complexity to achieve proj