A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.
We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.
If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

POSITION PURPOSE

The primary purpose of the Compliance Officer is:

To support the EMEA Compliance Managers and the Head of EMEA Compliance in the effort to ensure that the EMEA operations of T. Rowe Price comply with relevant legislation and regulation.
Reviews policies and procedures for an assigned business unit. When current policies and procedures do not meet required standards, incumbents will work with business leaders to identify the areas of concern, offer recommendations, and manage the follow up to ensure the areas of concern have been addressed in a timely manner
In consultation with legal team, recognizes current industry compliance issues and research and impact on assigned business units. Assists with the communication of relevant information to business unit leaders

Principal Responsibilities

Assist the Compliance Manager with providing consultative compliance support and advice to the firm’s Global Distribution business, Technology and Finance departments. Serves as contact point for Global Distribution teams (Relationship Management, Consultant Relations, Marketing, Client Account Services) for questions related to regulatory matters.

Assist with the ongoing monitoring of jurisdictional regulatory changes and impact analysis, with a view to issuing advice and guidelines to the business in relation to the markets in which it operates
Works closely with other areas of the legal and compliance teams to keep them abreast of changes that are being disseminated to the business
Assisting Compliance Managers and Attorneys within Legal department in the EMEA region, with regulatory change projects.
From time to time assisting the Compliance Monitoring Team with surveillance or thematic reviews.

Assist the Compliance Managers and Head of EMEA Compliance in Delivering actionable consultative compliance support to the Equity and Fixed Income investment business and support functions.   Responsibilities include:

Researching and responding to trading issues.  Using regulatory knowledge and judgment to provide appropriate resolution to trading issues and providing interpretive guidance on the trading manual matters;
Makes decisions on whether clients can participate in an IPO or private placement;
Researching IPO, private placements and corporate actions and providing interpretive guidance on selling and transfer restrictions as they relate to the firm’s global client base; including safe harbors from US Securities law and relevant laws/regulations in other jurisdictions;

Works to ensure that the business conducted within the Europe, Africa and Middle East (“EMEA”) region complies with relevant laws and regulations including:

Licensing (at the corporate level);
Assists the SMCR Conduct Manager in maintaining up to date records, registrations and information on the firm’s Senior Managers and Certification Staff for the UK entities.
Assisting with regulatory reporting for the firm, e.g. GABRIEL/CONNECT/South African FSCA submissions;
Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules;
Responding to question/information requests from regulatory authorities;
Assisting with management of regulatory inspection visits and requests for information;
Maintaining knowledge of regulatory developments and implement any required business changes;
Developing and enhancing policies procedures for the business to ensure compliance with regulatory or market developments.  Documenting and administering procedures as required;
Assisting with the broker legal documentation requirements;
Work closely with other areas of the business to ensure appropriate review and resolution of complaints
Coordination of Compliance responses to client due diligence requests and RFPs
Leading, and or assisting Compliance Managers and Attorneys within Legal department in the EMEA region, with team or firm-wide change projects

Provides consultative support and advice on Code of Ethics and Conduct (“Code”) related matters including:

Providing advice on policy with regards to reporting and prior clearing gifts and entertainment.  Uses judgment to determine when and how policy should be applied in atypical scenarios;
Reviewing over the wall requests/market soundings from brokers and advising the investment business on issues that may involve material non-public information and making additions to or removals from the Restricted List.
Providing advice to the investment business when conflicts of interest may arise. Using judgment to determine appropriate action to avoid any such conflict;
Providing Compliance training to new associates joining the firm
Assisting with the development and roll-out of new training initiatives within the Legal Department

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

Required:

Bachelors degree or the equivalent combination of education and relevant experience
At least 3+ years working knowledge of compliance within the asset management industry
Knowledge of FCA/UK regulatory framework with direct relevant experience
Good general knowledge of the FCA handbook
Able to work under pressure and produce results without close supervision
Ability to handle heavy workload under tight timeframes and prioritize appropriately
Good verbal and written presentational skills
Attention to detail
A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
Analytical skills allied with creative thinking
Excellent interpersonal and influencing skills

Preferred:

Good product knowledge – US mutual funds, UCITS products and separate account management.
Project management capabilities would be advantageous
Second language(s): German would be preferred

CBRE Global Workplace Solutions is a leading global provider of integrated facilities and corporate real estate management. Reporting to the Regional QHSE Director, we are recruiting a Senior QHSE Manager for our GWS Local CEMEA business (Continental Europe, Middle East, Africa & Ireland). Ideally, the candidate will be based in the UK (Head office location) or one of our key markets of Ireland, Spain, France, Italy or the Netherlands. The successful candidate will implement the GWS Local QHSE strategy, driving engagement with the regional Managing Directors & their operational & functional leadership team as well as managing QHSE compliance & assurance across the wider CEMEA region.
Role Summary:
• Lead and co-ordinate the Divisional QHSE improvement planning process, embedding CBRE’s downstream QHSE accountability model, across the CEMEA business group
• Support the evolution of CBRE’s QHSE management system including active participation and playing a co-ordinating role in the development of CEMEA QHSE operational ‘goal setting’ QHSE standards
• Lead in the preparation of monthly, quarterly QHSE compliance and assurance reports, providing insight into operational strengths and weakness and identifying opportunities for improvement and action areas for colleagues across the business – ideally the candidate will bring innovation and insight as we aim to simplify and deliver efficiencies
• Co-ordination of the:
- internal QHSE auditing plan for CEMEA; and,
- CBRE’s ISO certification programme (as it applies to CEMEA)
• Support the ongoing review of CEMEA’s Business Group Risk Register [QHSE] with authority and credibility, escalating risks and issues (including gaps in the development of risk mitigation actions)
• Be people focussed: for example, by supporting colleagues across CEMEA through coaching, training and guiding on QHSE techniques, and ways of working
• To support the QHSE aspects of new business through solutions development, participation in presentations and consultation meetings, bid and contract generation and review and to support mobilisation and resourcing activities on new contracts and projects as required, including acquisition activity
Experience Required:
• A good general education and a formal management qualification in Quality, Health & Safety and Environmental management; practical application of auditing and membership of a relevant professional body
• Working knowledge of the facilities management sector is preferred, along with experience gained in multiple industry sectors at managerial level in a matrix management organisation
• Specialist and strategic higher managerial experience in Health, Safety, Quality, and Environmental Management; examples of practical and demonstrable knowledge of the following is expected:
- Risk Management strategy development and implementation
- Best Value analysis of QHSE resource support provision
- Monitoring / Analysis of management system performance
- Development, implementation and deployment of management systems, policy and process
- Environmental risk and ‘resource’ evaluation / management
- Ability to positively articulate QHSE through presentation – the ability to engage the audience
- Event investigation & analysis to drive improvements
• Excellent verbal and written communication skills
• Numerate with a high degree of computer literacy
• Excellent motivational and influencing skills
• Able to contribute effectively and on equal terms across all business activities
• Politically astute with a sound understanding of current issues
• Incumbents must have a high level of energy, be self-starters, confident and stable in manner, and be able to prioritise and work on a range of activities within a high-pressure environment
• A significant degree of travel across EMEA is to be expected as part of this role (when possible), including spending time away from home for short periods of time (e.g. typically 2-4 nights at a time)

CBRE Global Workplace Solutions is a leading global provider of integrated facilities and corporate real estate management. We are recruiting a Governance, Controls and Quality Assurance Specialist to join the team located in London. The successful candidate will be responsible for developing the overall Governance, Controls and Quality Assurance Framework for the People Services Centre, identifying opportunities for continuous improvement, continuous testing controls across the Region to ensure that they are fit for purpose, redesigning them if appropriate together with the wider SOX teams.

Role Summary:
• Design and build the governance framework for the People Services, ensuring alignment to the needs of the business and the People function, as well as internal and external audit
• Design, build and manage the SOX controls, working with the Global SOX team and Finance function
• Design and build the People Service Centre Quality Assurance framework, focused on quality monitoring protocols, e.g. call monitoring, auditing cases, and data entry
• Document all processes in People Services and maintain the process register, ensuring that all processes are reviewed every six months
• Design and build the risk and controls framework for the HR SSC processes, ensuring appropriate controls are in place to limit losses and reduce risk in HR and payroll operations
• Collate details of existing risks and controls in place and analyse whether these are still required in the future organisation
• Collate details of current audit reports/processes and analyse whether these are required in the future organisation
• Collate findings from previous years’ audit reports and analyse whether there is any action is required or considerations for future processes
• Review the issue log on a monthly basis with the team leader, identify preventative action and make implement necessary changes to processes or systems
• Build and maintain collaborative relationships with the People Operations team, HRIS, and the wider People function
• Provide status reporting on actions and deliverables within the Process Workstream, highlighting any risks, issues or blockers
• Be an advocate for the centralised People Services team with colleagues and user groups

Experience Required:
• Experience developing governance frameworks, risks and control protocols, and quality assurance procedures
• Experience of HR SOX controls
• Good working knowledge of HR business processes essential
• Ideally has experience working in an HR Shared Services team
• Project Management experience desirable
• Identifies and communicates opportunities to improve the way that work is done
• Strong organisational skills with the ability to prioritise effectively ensuring all deadlines are met
• Strong team skills, collaborating with, and supporting colleagues
• Strong analytical skills and problem-solving skills
• Excellent communication skills both written and verbal
• Good interpersonal skills and ability to develop strong partnership with stakeholder
• Pro-active approach with a ‘can-do’ attitude

The Conversions Consultant/Business Analyst will be responsible for:

• Delivery of Asset Servicing conversions, participating in all phases i.e. scoping, data integration / configuration definition, user testing support, training and migration activities.
• Scoping – working with our clients to define and document the usage of our core Asset Servicing solution.
• Data Integration / Configuration Definition – working with our clients to define upstream and downstream data integration mapping, and any associated configuration to support the client’s business.
• User Testing Support – closely supporting our clients through user testing, issue/defect management and advising on best-practice usage of the solution and Asset Servicing processes.
• Training – providing both internal and external client training which includes preparing material and providing product demonstrations.
• Migration – working with our clients to define the approach of migrating data from their legacy system(s) to our target Asset Servicing solution.
• Collaboration – working closely with internal (incl. remote) teams on delivery of conversions activities, and providing mentoring/guidance to junior members of the team.
• Travel – ability to travel to client site where required to support delivery of Conversions activities.
• Continual Improvement – actively monitoring and reviewing the conversions processes and driving initiatives to continually improve them.

​​​​​​​Essential requirements / competencies for this position are:

• Experience of working on Asset Servicing platforms (either in-house or vendor solutions) in an Investment Banking environment
• Subject matter expertise in all areas of Asset Servicing including Dividends, Coupons, Tax and Corporate Actions (Mandatory and Elective) processing
• A thorough understanding of the Asset Servicing lifecycle and components including –
  • Event capture (multi-source)
  • Data quality / data cleansing
  • Position and Transaction eligibility
  • Entitlement processing including trade generation and resulting ledger postings
• Product knowledge covering Equity, Fixed Income, CFDs and SWAPS
• Experience of large scale projects and good understanding of the full project lifecycle and Governance
• Experience of working in an agile environment
• Excellent organisation and communication skills with the ability to interface effectively with internal and external clients in both the business and technology at any level
• Ability to handle multiple work streams and assignments simultaneously, able to lead implementations and work as part of a team
• Ability to understand and challenge the detail
• Data analysis including use of SQL
• Willingness to travel and to work on client site as necessary

Essential requirements / competencies for this position are:

• Experience of working on Asset Servicing platforms (either in-house or vendor solutions) in an Investment Banking environment
• Subject matter expertise in all areas of Asset Servicing including Dividends, Coupons, Tax and Corporate Actions (Mandatory and Elective) processing
• A thorough understanding of the Asset Servicing lifecycle and components including –
  • Event capture (multi-source)
  • Data quality / data cleansing
  • Position and Transaction eligibility
  • Entitlement processing including trade generation and resulting ledger postings
• Product knowledge covering Equity, Fixed Income, CFDs and SWAPS
• Experience of large scale projects and good understanding of the full project lifecycle and Governance
• Experience of working in an agile environment
• Excellent organisation and communication skills with the ability to interface effectively with internal and external clients in both the business and technology at any level
• Ability to handle multiple work streams and assignments simultaneously, able to lead implementations and work as part of a team
• Ability to understand and challenge the detail
• Data analysis including use of SQL
• Willingness to travel and to work on client site as necessary

Broadridge is an equal opportunity employer and makes employment decisions without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, or any other status protected by law. 

"Our Associates Matter.

Everyone Benefits from Diversity & Inclusion.

Diverse & Inclusive Teams Drive Growth."