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Sr Manager, Investment Compliance (100% Remote) at T. Rowe Price

Posted in General Business 30+ days ago.

Type: Full-Time
Location: Baltimore, Maryland

Job Description:

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.

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment restrictions for every portfolio managed by T. Rowe Price.  The Senior Manager will report to the Head of Investment Compliance and participate on the Investment Compliance management team.  The Manager will work proactively to identify and mitigate risk across the global function; partner with other business units to respond to regulatory developments and emerging industry trends, such as ESG, as well as complex issues and requests; analyze key business drivers for the function; and provide oversight of the incident management process.

Role Summary

The Senior Manager will use extensive knowledge to consult on complex compliance and risk issues. Keeps abreast of new laws and regulations to determine impacts on firm compliance standards. Collaborates with management to develop new policies and practices to ensure compliance with legal requirements.


  • Continually reviews ongoing and emerging risks related to the Investment Compliance function. Maintains a detailed risk assessment, ensures risks are appropriately documented, prioritized, communicated, and escalated. Partners with the management team to develop actionable plans aimed at reducing risk across the global function.

  • Understands the technology roadmap and incorporates the impact of changes in functionality and architecture into the risk assessment and the overall risk profile of the Investment Compliance function.

  • Partners with other business units to address emerging industry challenges, with a considerable emphasis on ESG, and proposes cross functional end-to-end processes and enhancements that reduce risk. Develops initial drafts of policies, procedures, workflows, etc. in support of new requirements.

  • Coordinates the development of departmental metrics and key performance indicators, identifies and reports trends to the management team, and recommends areas of focus and process improvement opportunities based on data and trends.

  • Serves as the Incident Coordinator for compliance violations across the global function and ensures root cause analysis, remediation, financial impact analysis and reporting are handled in a timely manner. Performs trend analysis of compliance violations, recommends risk mitigation opportunities, and communicates findings.

  • Prepares detailed and executive level content to communicate effectively to all levels of the organization including the Investment Compliance Advisory Council, key business partners and senior leadership.

  • Leads highly complex projects and serves as a subject matter expert for investment compliance issues.

  • Ensures business partners across the firm (Investments, Trading, Operations, and other stakeholders) are aware of internal investment compliance processes and that they are implementing programs to follow policies applicable to their areas.

  • Serves as an advisor to the business on investment compliance-related issues. Consults with Investment Compliance managers on new firmwide policies, guiding them on matters related to implementation and compliance.

  • Designs and executes education and training programs for Investment Compliance associates and business partners whose functions or responsibilities involve compliance with applicable firm policy and regulatory and industry laws.

  • Collaborates with cross-functional teams to influence best practices while meeting client objectives.



  • Bachelor's degree or the equivalent combination of education and relevant experience AND

  • 8+ years of total relevant work experience


  • Experience managing investment compliance processes including pre-trade and post-trade monitoring, client onboarding and rule coding

  • Knowledge of Charles River Compliance system (CRD) or comparable compliance platform

Work Flexibility

This role is eligible for 100% remote work.

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

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 invest in our people through a wide range of programs and benefits, including:

  • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions

  • Flexible and remote work opportunities

  • Health care benefits (medical, dental, vision)

  • Tuition assistance

  • Wellness programs (fitness reimbursement, Employee Assistance Program)

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.

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