Analyst, Investment Compliance Services and Regulatory Reporting

Investment Compliance Analyst

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 work and in your community. You'll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you'll find a collaborative culture that respects and values differences 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

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

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges : $68,000.00 - $116,000.00 for the location of : Maryland, Colorado, Washington and remote workers $74,500.00 - $127,000.00 for the location of : Washington, D.C. $85,000.00 - $145,000.00 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 : 12 / 28 / 2025

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.

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 :

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.