Smcr Conduct Officer

4 weeks ago

London, United Kingdom T. Rowe Price Full time

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

Role Summary:
To assist the firm’s Conduct Manager in their efforts to ensure T. Rowe Price complies with its regulatory deliverables of the Senior Manager and Certification Regime (SMCR)

This position sits in the Conduct Office, within the EMEA Compliance Team in London and reports to the Conduct Manager and will provide support in the following:
Principal Responsibilities
- Liaising with Senior Management and stakeholders to ensure the requirements of the SMCR are met including the documentation of reasonable steps.
- Leading the firm’s fitness and propriety assessments, including new joiners and annual reassessment, of all individuals in scope of the SMCR ensuring appropriate documentation is provided in a timely manner.
- Leading the firm’s Certification process for new joiners to ensure that individuals are appropriately registered, and documentation provided evidencing their regulatory activities.
- Leading on meetings with key stakeholders to build and maintain strong working relationships.
- Completing a review of associates employment arrangements (joiners/transfers/leavers) to ensure SMCR roles are identified promptly and appropriate SMCR allocation determined prior to taking on role.
- Facilitating the Senior Manager handover process as required
- Assisting the firm’s SMCR regulatory filings via FCA connect
- Engaging with firm’s Senior Management Functions to ensure timely updates to Statement of Responsibilities where required.
- Maintaining the firm’s Management Responsibility Map
- Timely allocation and completion of the firm’s SMCR annual training to all in scope individuals ensuring adherence to firm’s policies
- Performing a review of the firms SMCR policy and procedures and identify and propose enhancements required
- Producing MI in relation to SMCR activities
- Keeping abreast of regulatory developments, considering impact to the firm and in scope entities.
- Working closely with other areas of the Compliance teams to keep them abreast of developments that are being shared with the business
- Supporting the Conduct Office in onboarding an SMCR technology solution to manage the SMCR requirements.
- Responding to queries from stakeholders to ensure they are aware and understand their requirements under the SMCR
- Assisting with Board reporting as required
- Recommend and implement improvements to processes, procedures and frameworks where required to continue to improve the firm’s SMCR program
- Attend seminars/working groups from industry bodies to keep abreast of developments in the industry
- Opportunities to work on ad-hoc projects as directed by line manager.
- From time to time assist and collaborate with Compliance team and managers on projects that impact both Compliance and the Conduct Office

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

Required:

- 2+ years of SMCR experience gained within Compliance or HR.
- 5+ years Financial Services working experience
- Confident and credible dealing with senior individuals
- Enthusiasm to further develop understanding of the SMCR regulation
- Highly organised with ability to work independently
- Ability to work on multiple tasks with competing deadlines and prioritize appropriately
- Excellent written and verbal presentation skills
- Highly organised with strong time management
- Attention to detail when responding to queries and working on projects.
- Analytical skills allied with creative thinking.
- Excellent interpersonal and influencing skills.

Preferred:

- Bachelor’s Degree (or equivalent) and/or finance industry qualification (e.g. IMC, CISI diploma)
- Experience of SMCR gained from other regulated firms
- Knowledge of the SMCR regulatory environment.
- Working knowledge of/Familiarity with FCA connect

Commitment to Diversity, Equity, and Inclusion:
We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day.

T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed

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