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Specialist- Compliance Job Details
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| Specialist- Compliance (Ref: 00831) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | T. Rowe Price |
| Location: | Baltimore , Maryland Americas, United States |
| Employment Type: | Permanent |
| Job Description: |
PRIMARY PURPOSE OF THE POSITION The Compliance Specialist is responsible for assisting with the administration of the firm's Code of Ethics program in regards to employee trading activity. The position exists to review and audit employee personal securities transactions and related reports/files to ensure strict adherence to regulatory requirements and the firm's Code of Ethics and Conduct. This position works under moderate supervision and does not supervise other staff. PRINCIPAL RESPONSIBILITIES 1. Performs various duties pertaining to employees' personal securities transactions, such as entering trade confirmations and reviewing monthly account statements to ensure compliance with the Code of Ethics and Conduct.. 2. Preparing and sending 407 letters to brokerage firms when employees inform Code Compliance of new accounts. 3. Entering holdings of new access persons into Examiner system. 4. Opening mail, time stamping, and distributing items to proper personnel. Assisting Manager, Code Compliance and Associate Business Analyst as needed. QUALIFICATIONS Required: A team-worker who must be able to build positive working relationships. Excellent organizational skills Ability to adapt to ever changing regulatory environment Ability to work under deadline pressure Strong oral and written communication skills High school diploma/equivalent with two years related work experience, or Associate degree and 1 year related work experience, or College degree |
| Job Ref No: | 00831 |
