What are the responsibilities and job description for the Sr Analyst, Investment Compliance position at T. Rowe Price?
Role Summary
Investment Compliance is a global team responsible for ensuring compliance with a diverse set of requirements, including regulatory, prospectus, client-directed, internal investment, and operational restrictions (“Compliance Restrictions”) for portfolios managed by T. Rowe Price.
This position sits within the Monitoring team which plays a crucial role in reviewing investment activities as it relates to Compliance Restrictions coded into the firm’s investment compliance monitoring system, Charles River (CRD), and supports client reporting on these restrictions.
The Investment Compliance Senior Analyst collaborates with, and provides information to a diverse range of stakeholders, including investment personnel, legal counsel, client operations managers, and other internal and external partners. The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.
Responsibilities
- Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage
- Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility. When necessary, liaises with trading, legal, client operations and / or investment personnel by assisting with interpretation of guidelines and communications to clients
- Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
- Oversee and manage manual processes items not coded into CRD
- Proactively identifies and escalates potential compliance violations to management and if necessary, participates in the violation resolution process
- Actively participates in the Global Client Investment Reporting (GCIR) process
Process Improvement
Projects
Qualifications
Required :
Preferred :
FINRA Requirements
FINRA licenses are not required and will not be supported for this role.
Work Flexibility
This role is eligible for hybrid work, with up to two days per week from home.
Base Salary Ranges
Please review the job posting for the location of this specific opportunity.
85,000.00 - $145,000.00 for the location of : Maryland, Colorado, Washington and remote workers
93,500.00 - $159,000.00 for the location of : Washington, D.C.
106,000.00 - $181,000.00 for the location of : New York, California
Placement within the range provided above is based on the individual’s relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.
This job posting is expected to be available until :
04 / 14 / 2025
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.
Benefits
We value your goals and needs, at work and in life. As an associate, you’ll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.
Featured employee benefits to enrich your life :
Competitive compensation
Annual bonus eligibility
A generous retirement plan
Hybrid work schedule
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits
Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.
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, color, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.
Salary : $106,000 - $181,000
