Senior Manager, Investment Compliance
T. Rowe Price · Baltimore, United States · 2mo ago
At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident.
We believe doing the right thing for our clients and our associates is good business.With a career at the firm, you can expect opportunities to create real impact at workand in your community. You’ll enjoy resources to support your career path, as well ascompensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and valuesdifferences and colleagues who share a spirit of generosity.
Join us for the opportunity to grow and make a difference in ways that matter to you.
Role Summary
At T. Rowe Price, our mission is to help clients achieve their long-term financial goals. As part of Global Investment Operations (GIO) Investment Compliance is a global team responsible for helping ensure portfolios are managed in accordance with regulatory, prospectus, client-directed, internal investment, and operational restrictions. This role offers the opportunity to lead a highly visible monitoring function with broad impact across the firm, partnering with senior stakeholders to strengthen controls, guide complex compliance matters, and advance scalable, risk-based monitoring practices in a dynamic global environment.
The Senior Manager, Investment Compliance leads the Monitoring function and is responsible for the strategic direction, governance framework, and execution oversight of compliance monitoring activities within the firm’s Investment Compliance monitoring system, Charles River (CRD), as well as associated client reporting processes. The role partners with senior stakeholders across Investment, Legal, Risk, and Operations to support effective interpretation and implementation of compliance restrictions and to drive process improvements, operating model enhancements, and third-party oversight aligned with Investment Compliance priorities.
Responsibilities
- Lead the execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD).
- Serve as a subject matter expert and advisor on complex compliance guideline interpretations, partnering with Trading, Investment, Client, Legal, Risk, and Operations stakeholders.
- Own the governance and risk assessment of manual monitoring processes, including prioritization of automation opportunities to improve scalability, control effectiveness, and operational efficiency.
- Manage the identification, escalation, and resolution of compliance violations, including analysis of systemic issues and guidance on remediation.
- Partner with Investment Compliance Implementation to refine and improve the firm’s rule library and monitoring framework.
- Partner with Investment Compliance Business Solutions to identify and implement solutions that mitigate risk and address process inefficiencies.
- Provide leadership and oversight of Monitoring contributions to Global Client Investment Reporting (GCIR).
- Lead automation and innovation initiatives, including enhancements and AI-enabled tools that improve monitoring accuracy, consistency, and efficiency.
- Drive the strategic roadmap for process improvement and rule optimization using trend analysis and data-driven insights.
- Lead complex, cross-functional initiatives affecting Monitoring, including system enhancements, regulatory implementation, and operating model changes.
- Direct responses to regulatory changes and new investment products to ensure appropriate monitoring coverage and ongoing compliance readiness.
- Establish standards for documentation, procedures, and control design to support consistency, governance, and audit readiness.
- Lead and develop team members by setting performance expectations, strengthening team capability, and supporting talent development and succession planning.
- Provide oversight of outsourced monitoring activities, including vendor performance reviews, issue remediation, and support for vendor-related due diligence as needed.
- Drive alignment across global teams to ensure consistency in monitoring practices, governance standards, and execution.
Qualifications
Required:
- Bachelor’s degree or the equivalent combination of education and relevant experience AND
- 8+ years of total relevant work experience
Preferred:
- Experience with trading, order management, and compliance systems, specifically Charles River or similar platforms.
- Strong understanding of investment products, including equities, fixed income, and derivatives.
- Experience leading teams or functional areas within Investment Compliance.
- Demonstrated ability to lead complex cross-functional initiatives and drive process transformation in a risk-controlled environment.
- Strong analytical, research, and problem-solving skills, with the ability to interpret complex issues and identify practical solutions.
- Strong attention to detail, sound judgment, and the ability to adapt and lead effectively in a dynamic, trading-related environment.
- Strong interpersonal, written, and verbal communication skills, with the ability to influence and collaborate effectively across stakeholders.
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 one day per week from home.
Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).
Base Salary Ranges
Please review the job posting for the location of this specific opportunity.
$110,000.00 - $188,000.00 for the location of: Maryland, Colorado, Washington and remote workers$121,000.00 - $207,000.00 for the location of: Washington, D.C.
$138,000.00 - $236,000.00 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.
Commitment to Diversity, Equity, and Inclusion
At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all.
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