Investment Compliance Analyst

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.

Role Summary

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions for every portfolio managed by T. Rowe Price.  This position sits within the Implementation team, which is responsible for the on-boarding 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. 

The Analyst identifies, interprets, and programs restrictions into the Charles River compliance system to support automated compliance testing across all portfolios managed by T. Rowe Price.  The Analyst also consults with and provides information to investment personnel, attorneys, client operations managers and other internal and external parties. 

Responsibilities:

• New account on-boarding, amendments to existing client documentation, and coding (using Charles River)

  o    Liaises with client operations and/or product on new accounts or changes for existing clients to provide compliance feedback

  o    Reviews investment restrictions in proposed new account documentation and guideline amendment language to ensure ability to code the compliance system as well as clarify intent, if needed

  o    Programs logic-based rules in Charles River in order to effectively monitor client and regulatory requirements

  o    Collaborates with investment staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio

  o    Assesses impacts of code changes and tests restrictions to ensure they function as intended

  o    Escalates any operational roadblocks or risks in new client requirements to management

   

  Process Improvement:

  o    Works to reduce risk by looking for opportunities to make coding more accurate, concise, and efficient

  o    Develops subject matter expertise and proactively shares knowledge of the Charles River system, or other investment compliance monitoring system(s), to increase depth of knowledge within the Implementation team

  o    Challenges the status quo of policies and procedures and proactively identifies process improvement opportunities

  o    Assists in the continued optimization of the rule library

  o    Develops and maintains appropriate documentation, procedures, and process controls

Preferred Qualifications:

o    Strong attention to detail; commitment to quality

o    Strong customer service orientation

o    Strong interpersonal skills; effective written and oral communications

o    Ability to work under pressure

o    Strong research and problem-solving skills

o    Team player

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.