Finance Auditor

Posted Apr 5

SUMMARY:

Our team is seeking a Compliance Testing Analyst to join the Global Compliance Monitoring & Testing team to support our client's Compliance testing program. The ideal candidate will possess and demonstrate knowledge and experience with the regulations and multiple disciplines involved in the operations of an investment management firm.

PRINCIPAL RESPONSIBILITIES:

  • Execute tests on the annual Compliance test plan within framework standards.
  • Plan, scope and set test objectives for assigned areas of testing.
  • Apply a risk-based approach to evaluate whether the firm has appropriate policies and procedures to meet regulatory requirements.
  • Evaluate that controls are operating effectively to comply with applicable laws.
  • Apply data analytics to execute and increase depth of tests, as applicable.
  • Identify and offer recommendations resulting from testing and collaborate with business partners to assist in developing remediation plans to ensure the areas of concern are addressed in a timely manner.
  • Draft reports describing testing performed and results.
  • Analyze and prepare reports on the results of the compliance risk assessment for management.

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:

  • Bachelor's degree or the equivalent combination of education and relevant experience.
  • 6 - 8 years of total relevant work experience.
  • Extensive working knowledge of compliance within the asset management industry.
  • Strong working knowledge of US regulations applicable to T. Rowe Price (e.g., SEC, ERISA, FINRA, NFA, CFTC).
  • Team player who is able to build collaborative working relationships and interact with a diverse group of internal partners.
  • Solid attention to detail, strong problem solving, analytical, organization, coordination, and critical thinking skills.
  • Strong verbal and written communication skills; an articulate and effective communicator, including ability to present complex concepts into understandable and actionable points.
  • Strong organization and prioritization skills while executing multiple priorities simultaneously, accurately, and timely.