Description:
Primary Purpose of the Position:
The Compliance Specialist is responsible for regularly preparing and maintaining official records, filings, registrations and notices as required by federal, state, and other regulatory authorities to ensure compliance. This position is also responsible for filing regulatory reports regarding the firm's ownership of securities. This level requires incumbents to apply standard procedures and precedents in a compliance environment to accomplish the objectives set by the Director of Compliance and Compliance Manager. There are multiple incumbents responsible for monitoring adherence to firm-imposed investment guidelines and restrictions. This entry level position requires incumbents to perform standard procedures and processes to accomplish the objectives set by the Compliance Manager or higher level staff. This position works under moderate supervision and does not supervise other staff.

Principal Responsibilities:
1. Prepares, files and monitors filings, official records, registrations and/or notices as required by regulatory agencies to ensure compliance. These documents are varied in complexity. Examples of documents include 13Ds and 13Gs monthly and annually.

2. As directed, researches issues pertaining to their area of expertise in response to business unit and/or regulatory inquiries.

3. Monitors reports indicating amount of holdings in securities to ensure the firm has not exceeded its aggregate ownership levels, ensuring adherence to firm-imposed investment guidelines and restrictions, and ensuring that filings are made in a timely basis.

4. Maintains compliance department legal files on client accounts; inputs and maintains compliance data in HiNet system; responds to broker inquiries for trading authority and W-9 forms, and maintains files for various forms received from employees.

Qualifications:
*High school diploma or equivalent with two years related work experience, or college degree
*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
*Paralegal education/training preferred

T. Rowe Price is an Equal Opportunity Employer.