Sr. Manager, Regulatory Advisory Compliance (Compliance Testing)

Role Summary

The Enterprise Compliance team is seeking a Senior Manager to join the North America Compliance Testing team. You will be responsible for executing regulatory compliance tests and supporting a risk-based program that demonstrates compliance with applicable laws and regulations. This will involve collaborating with Compliance, Legal, Internal Audit, and Risk colleagues, and consulting with business partners to identify compliance risks and proactively evaluate compliance controls.

The ideal candidate will possess deep knowledge and experience with the regulations and multiple disciplines involved in the operations of a global investment management firm. The Senior Manager will also partner closely and collaborate with Global Compliance colleagues to integrate and implement key components of compliance risk assessment, policy, monitoring, and testing frameworks. This is an opportunity for you to be an integral part of a global team and play a critical role in helping mitigate compliance risk and have a positive impact on the organization.

Responsibilities

• Plan, scope, and execute compliance tests within framework standards, applying a risk-based approach to evaluate whether the firm has appropriate policies and procedures, and whether controls are reasonably designed and operating effectively to comply with applicable laws
• Drive strategic thinking around emerging compliance risks to inform testing strategies and plans
• Identify opportunities to scale testing activities and promote efficiency across North America and other regions
• Lead innovative thinking and apply AI and data analytics to enhance testing methodologies, increase scale and depth of analysis, and create impactful visualizations to highlight potential compliance risks
• Build and maintain strong relationships with business partners and Global Compliance leaders, to support engagement and escalate significant compliance testing matters that require attention or action
• Support Global Compliance’s risk assessment process to identify, assess and mitigate compliance risks
• Support the firm’s broker‑dealer internal inspection program, including collaboration with relevant stakeholders and alignment with broader compliance testing activities

Qualifications

Required:

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

• 8+ years of total relevant work experience

Preferred:

• Significant compliance, regulatory, risk management, or assurance testing experience within a global asset management or investment management organization
• Strong working knowledge of US regulations applicable to T. Rowe Price (e.g., SEC, ERISA, FINRA, NFA, CFTC)
• Demonstrated accountability for self and others to drive deliverables, with a proven ability to collaborate effectively and build strong working relationships with diverse stakeholders
• Excellent verbal and written communication skills, including the ability to clearly articulate complex regulatory and risk issues to stakeholders
• Active FINRA Series 7 and Series 24 licenses are a plus, demonstrating familiarity with broker-dealer regulatory requirements and branch examinations
• Strong analytical, critical thinking, and problem-solving skills, with a high degree of attention to detail while managing multiple priorities
• Proficiency in using data analytics, automation, or technology-enabled approaches to enhance testing
• Familiarity with EMEA and APAC regulations a plus (e.g., FCA, SFC, MAS)
• Strong leadership capability with experience influencing stakeholders and driving outcomes across functions and geographies

FINRA Requirements

FINRA licenses are not required. Existing FINRA licenses may be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.