Analyst, Compliance Services

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ABOUT THIS POSITION

As a member of the Global Distribution Compliance & Risk Management (CRM) Team, the Analyst will support the Sr. CRM Managers for APAC and EMEA Distribution and help provide the first line of defense to APAC and EMEA Distribution regarding compliance and risk matters. The Analyst will also support APAC Distribution and APAC Global Client Account Services (GCAS) with privacy and confidential client data (CCD) matters. The Analyst will contribute to areas including policies and procedures, incident management, metrics and reporting, Privacy
- and Security-by Design reviews, projects and strategic initiatives, and program improvement. A further requirement is to ensure that APAC and EMEA Global Distribution business units and, as applicable GCAS, comply with various regulatory requirements, contractual obligations, the T. Rowe Price Global Privacy and CCD Policy, and other program requirements.

ROLE SUMMARY

Proactively identifies and manages the risk and compliance requirements to ensure alignment with strategic priorities, regulatory requirements, and client needs. Crafts straightforward risk management and compliance programs based on business requirements and regulatory environment.

PRINCIPAL RESPONSIBILITIES
- Coordinates activities related to new and existing regulations. Submits recommendations to create new or modify existing policies and procedures related to internal controls. Communicates these changes to business partners and assists with updates to processes to strengthen CRM programs. Assists with the annual Compliance Policy & Procedures Certification process.
- Provides managers with information and input on new firmwide policies, guiding them on matters related to implementation and compliance; monitors ongoing compliance across all teams. Executes education and training programs for employees whose functions or responsibilities involve compliance with applicable firm policy and regulatory and industry laws.
- Assists Sr. CRM Managers in executing risk-related protocols in support of the Enterprise Risk Management Framework. Assists with the identification of risks and the design, implementation and execution of organizational controls and oversight to respond to and manage risks to ensure compliance with rules and regulations. Contributes to the completion and ongoing oversight of Risk Control Self-Assessments (RCSA) and risk scans including documenting and maintaining risk issue records in Archer.
- Serves as project lead on medium-sized projects of moderate complexity. Supports specific work streams of larger or more complicated projects. Partners with stakeholders to gather and define requirements, develop timelines, establish milestones, and report on the project status.
- Coordinates projects designed to resolve various process issues using knowledge of best practices, systems, policy requirements, and client service needs to implement the development of solutions that improve overall efficiencies.
- Produces various reports and metrics on a repeatable and ad-hoc basis including EMEA’s SMCR reporting and training and annual Fit and Proper attestations.
- Responsibility for escalation and management of incidents and issues. Assists the Incident Coordinator with incident management, both data security incidents and non-data security incidents, which includes assisting with the escalation and remediation of incidents, entering the incidents into Archer as appropriate, and providing support for more sensitive and escalated incidents in partnership with the business and assurance partners.
- Participates and/or leads Privacy
- and Security-by Design Reviews, on processes, systems, and projects to evaluate compliance with laws, regulations, and internal standards, which includes scheduling Consultation and Impact Assessment meetings with the appropriate business and assurance partners; submitting the required documents in Archer; following up with the business project owners until the review is completed; and tracking the status via the team’s SharePoint Master List.
- Assist with queries received from the business and assurance partners (regional and global).
- Conducts and/or assists with monitoring and training related to certain activities such as Client Events, MiFID II Knowledge and Competency, Gifts & Entertainment, Marketing Content (Admaster), reverse solicitation, cross-border sales monitoring, and incident mitigation.
- Analyzes vendor services from a compliance, risk, and privacy perspective to ensure performance meets contractual, firm, client, and industry requirements.

PERSONAL ATTRIBUTES/