Senior Compliance Analyst, Regulatory… at T. Rowe Price · London

KM3

The associate will be required to work collaboratively with both the EMEA and global compliance teams to meet regulatory and firmwide objectives.

Amongst their responsibilities, the associate will support the Senior Compliance Manager in charge of the UK Product Compliance. The role will include various aspects including but not limited to collaboration with Investment risk and Operational Risk, Fund Accounting, depositary/custodian, Investment compliance and Transfer Agency Oversight. The associate’s support may extend from time to time to other products and services operated by the Company in the EMEA region.

This role requires broad compliance expertise with particular knowledge of UK authorised funds and FCA requirements in product governance and oversight (COBS, COLL, PROD), ESG/SDR, the Assessment of Value process, and Consumer Duty, as well as knowledge of the equivalent concepts applicable in the European Union. The role will evolve in line with T. Rowe Price’s growth and product expansion and the Compliance function organization and needs.

PRINCIPAL RESPONSIBILITIES

• Serve as the compliance advisor for UK Products, partnering with Product, Fund Accounting, TA Oversight, Investment risk and Operational Risk to embed effective, risk‑based controls. Act as back-up for EU incorporated products as required and needed.
• Provide pragmatic advice and oversight on product governance and change, aligning to regulatory requirements) such as Consumer Duty, Assessment of Value, and ESG/SDR, Product Life Cycle, Conflict of Interests, UCITS, AIFMD, Complaint as relevant.
• Identify and deliver compliance program enhancements; rationalize and maintain policies, procedures, and oversight processes to keep them current and practical.
• Work closely with Compliance Monitoring, Enterprise Risk and Internal Audit teams to support a risk‑based monitoring and testing program for Products and related processes.
• Coordinate with Compliance Monitoring, Enterprise Risk and Internal Audit to align coverage, avoid duplication, and drive timely, durable remediation of findings.
• Lead and contribute to cross‑functional projects and change initiatives from a compliance perspective; define requirements and embed controls into new products, processes, and technology.
• Conduct horizon scanning; assess regulatory change impacts; update policies/procedures, deliver targeted training, and support operationalisation across affected teams.
• Report themes, metrics/MI, and emerging risks to senior leadership and governance forums; escalate material issues and track action plans to closure.
• Support regulatory engagements and third p‑arty reviews, coordinating document production, preparing briefings, and managing responses and remediation plans.
• Coach and advise other Compliance Managers supporting adjacent business units; share best practices and promote consistency across the program.
• Provides consultative support and advice on Code of Ethics and Conduct related matters.
• Provide generalist compliance support in the form of training, conflicts of interest, reviewing DDQ’s, certifications, market soundings etc.
• Represent Compliance in internal forums and selected industry groups to broaden insight and bring back actionable guidance.
• Provide support to senior leadership team in Compliance, maintain their awareness level and escalate as appropriate.
• Support Compliance initiatives and projects upon request.

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

Required:

• Experience in the asset management industry.
• Bachelor's degree or the equivalent combination of education and relevant experience.
• Knowledge of regulatory framework applicable to investment funds and Investment Management Firms with direct relevant experience, with primary focus on the UK.
• Proven relevant work experience in a generalist Compliance role for 4+ years and 2+ years’ experience in the Fund’s Compliance.
• Good Investment fund knowledge - UCITS products in UK and EU
• Good understanding of ESG requirements in UK and EU
• Excellent interpersonal and influencing skills
• 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
• Project management capabilities
• Working knowledge of compliance within the investment industry

Preferred:

• Familiarity with the regulatory and legal requirements of the other key jurisdictions.
• Experience in other fields of the compliance spectrum within Asset Management
• Experience in MiFID and/or AIFMD requirements
• Any other language than English may be a plus
• A growth mindset with commitment to ongoing learning of AI-augmented platforms

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