Josh Levine

Senior Manager Vice President - North American Compliance @T. Rowe Price

Baltimore, MD, US

Senior Manager Compliance & Oversight: Ensure compliance with SEC, FINRA, and other North American regulatory bodies by monitoring regulatory developments, advising business units, and implementing necessary changes. • Risk Management: Identify, assess, and mitigate compliance risks by developing and maintaining internal controls, policies, and procedures. • Policy Development & Implementation: Establish and refine compliance policies to align with evolving regulations and industry standards, ensuring effective training and awareness across the organization. • Monitoring & Testing: Oversee compliance monitoring and testing programs to assess adherence to internal policies and regulatory requirements, providing recommendations for enhancements. • Stakeholder Collaboration: Partner with business leaders, legal teams, and operational units to integrate compliance considerations into strategic initiatives and daily operations. • Regulatory Reporting & Audits: Manage regulatory filings, support regulatory exams, and coordinate responses to inquiries from regulators. • Training & Awareness: Lead compliance training programs for employees, reinforcing a culture of ethical conduct and regulatory adherence.

University of Phoenix

Masters, Business Administration

University of Maryland

Bachelors, Journalism