T. Rowe Price
Senior Analyst, Investment Compliance
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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 for portfolios managed by T. Rowe Price.
This position is responsible for the onboarding of new accounts and products, oversight of amendments to existing accounts, and programming of all restrictions into the firm’s investment compliance monitoring system, Charles River (CRD). This position is also responsible for pre-trade, post-trade, and portfolio (T+1) monitoring activities inclusive of alert investigation, reporting, and associated stakeholder notification or escalation.
The Investment Compliance Senior Analyst consults with and provides information to investment personnel, attorneys, client operations managers, and other internal and external parties. The analyst assesses the impacts of regulatory changes, new investment strategies, and data changes on the CRD rule library. The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.
Responsibilities
- Support the implementation of client and regulatory investment restrictions by analyzing guideline requirements, assessing coding feasibility, and translating requirements into effective compliance monitoring rules
- Partner with internal stakeholders, including investment, legal, client service, and operations teams, to clarify guideline intent and ensure rule coding aligns with portfolio strategy and regulatory obligations
- Evaluate compliance system capabilities, data availability, and operational impacts to determine appropriate coding solutions
- Manage implementation pipelines, meet inception deadlines, and escalate risks, roadblocks, or ambiguities that could impact delivery or monitoring effectiveness
- Perform testing and validation of new or updated restrictions to ensure rules function as intended and support accurate monitoring
- Monitor pre-trade, post-trade, batch, and manual compliance controls to assess permissibility, identify potential issues, and support timely resolution
- Perform test trade reviews for deals, corporate actions, and in-kind transitions to validate compliance with account restrictions
- Escalate potential compliance violations, operational risks, or unresolved issues to management and participate in resolution efforts as needed
- Support the client reporting process by contributing to accurate compliance review and reporting activities
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Process Improvement
- Continuously seeks opportunities to enhance efficiency: Actively identifies process improvement opportunities.
- Champions risk reduction: Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
- Drives automation and innovation: Recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data because of system upgrades
- Fosters knowledge sharing and collaboration: Develops deep expertise in the Charles River system, or other investment compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team
- Challenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
- Contributes to rule optimization: Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
Projects
- Leads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
- Assesses the impact of change: Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
- Develops clear and comprehensive documentation: Develops user-friendly documentation, procedures, and process controls to ensure clarity, consistency, and transparency
Typical Qualifications
- Bachelor's degree or the equivalent combination of education and relevant experience
- 5+ years of total relevant work experience
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Preferred Qualifications
- Experience using AI-enabled tools, automation, or data-driven techniques to improve manual monitoring, exception review, rule extraction, or rule-building processes within an investment compliance or control environment.
- Demonstrable experience identifying opportunities to apply AI, automation, or workflow enhancement tools to reduce manual effort, improve accuracy, and strengthen oversight across monitoring and rule coding activities.
- Practical understanding of how AI or emerging technologies can be used responsibly to enhance investment compliance processes, including alert review, rule interpretation, documentation analysis, and control effectiveness.
- Experience with Trading/IBOR/OMS systems, experience with CRD, Aladdin, or comparable compliance platform a plus.
- Practical understanding of investment products and security types, including equities, fixed income, and derivatives.
- Strong understanding of EMEA regulatory frameworks such as UCITS (Luxembourg, UK OEIC, Ireland ICAV and German jurisdictions), AIFMD. Other regulatory frameworks would be beneficial.
- Strong analytical, research, and problem-solving skills, preferably within investment compliance, investment operations, or a related financial services function.
- High attention to detail with a demonstrated commitment to accuracy, quality, and sound judgment.
- Strong organizational skills with the ability to manage multiple priorities, meet deadlines, and adapt in a dynamic, trading-oriented environment.
- Experience with leveraging AI solutions for process augmentation and automation.
- Effective written and verbal communication skills, with the ability to collaborate across investment, trading, legal, operations, and client-facing teams.
- Strong client service mindset and interpersonal skills, with the ability to build relationships and contribute effectively in a team-oriented environment.
Work Flexibility
This role is eligible for a hybrid work schedule; four days in the office, one day from home.
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