Sr. Analyst, Investment Compliance - NA Monitoring

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 SummaryInvestment 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 (“Compliance 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 Senior 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.ResponsibilitiesCommunicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usageAnalyze 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 clientsConduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictionsOversee and manage manual processes items not coded into CRDProactively identifies and escalates potential compliance violations to management and, if necessary, participates in the violation resolution processActively participates in the Global Client Investment Reporting (GCIR) processProcess Improvement:Continuously seeks opportunities to enhance efficiency: Actively identifies process improvement opportunitiesChampions risk reduction: Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficientDrives automation and innovation: Recommends and implements solutions to automate manual rules, integrates new compliance functionality, and leverages data pursuant to system upgradesFosters 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 teamChallenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challengesContributes to rule optimization: Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effectiveProjects:Leads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomesAssesses 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 solutionsDevelops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency QualificationsRequired:Bachelor's degree or the equivalent combination of education and relevant experience AND5+ years of total relevant work experienceExperience with Trading/IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platformPractical understanding of investment security types (e.g. stocks, bonds, derivatives)Preferred:Proven analytical skills within the area of investment compliance or a related fieldStrong attention to detail; commitment to qualityStrong customer service orientationStrong interpersonal skills; effective written and oral communicationsAbility to adapt and thrive in a dynamic environment with evolving priorities.Ability to thrive in a trading-related atmosphereStrong organizational skills; proficient in handling multiple tasks simultaneouslyStrong research and problem-solving skillsTeam playerApplicants 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). FINRA RequirementsFINRA licenses are not required and will not be supported for this role.Work FlexibilityThis role is eligible for hybrid work, with up to one day per week from home.Base Salary RangesPlease review the job posting for the location of this specific opportunity.$87,000.00 - $148,000.00 for the location of: Maryland, Colorado, Washington and remote workers$95,500.00 - $163,000.00 for the location of: Washington, D.C.$108,000.00 - $185,000.00 for the location of: New York, CaliforniaPlacement 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 InclusionAt 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. BenefitsWe 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 Learn more about our benefits. 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.SummaryLocation: Baltimore, MDType: Full time