Sr. Manager, Code Compliance

Sr. Manager, Code Compliance

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locations

Owings Mills, MD

time type

Full time

posted on

Posted 12 Days Ago

job requisition id

81829

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, y ou can expect opportunities to create real impact at work and in your community. Y ou’ll enjoy resources to support your career path, a s well as compensation , benefits , and flexibility to enrich your life. Here, you’ll find a collaborative culture that respect s and valu e s differences and colleagues who share a spirit of generosity .

Join us for the opportunity to g row and make a difference in ways that matter to you .

Role Summary

The Sr. Manager, Code Compliance leads a high-performing team responsible for overseeing and enhancing the firm’s Code of Ethics, personal trading, outside activities, and conflicts of interest framework. This role plays a critical part in protecting the integrity of T. Rowe Price’s fiduciary and regulatory obligations by ensuring associates’ activities are appropriately monitored, assessed, and aligned with firm policy and regulatory expectations.

Code Compliance is a dynamic and evolving function, operating at the intersection of regulatory requirements, business strategy, and technology enablement, with a focus on proactively identifying and mitigating employee conflicts of interest across a complex global organization.

As the Sr. Manager, Code Compliance, you will partner with Global Compliance management to shape the firm’s approach to employee conduct oversight while driving continuous improvement in processes, controls, and systems. You will implement strategic direction and coach your team to interpret regulatory requirements and translate them into practical, scalable compliance solutions and guidance. In this role, you will partner closely with stakeholders across Compliance, Legal, Technology, HR, and the business to design and implement enhanced monitoring frameworks, workflows, reporting, and analytics that strengthen oversight and improve operational efficiency. You will lead efforts to modernize compliance through technology, data, and process innovation, enabling the firm to respond effectively to an increasingly complex and evolving conflicts landscape. Your leadership will ensure that Code Compliance not only meets regulatory expectations but also serves as a strategic advisor to the business, helping associates and leadership make informed, risk-aligned decisions.

Responsibilities

• Lead and manage the Code Compliance function, providing strategic direction and oversight of activities related to employee personal trading, outside activities, gifts & entertainment, and conflicts of interest frameworks

• Directly manage and develop team, including setting objectives, providing ongoing coaching and feedback, and supporting career development to build deep subject matter expertise and strong judgment

• Oversee day‑to‑day compliance operations, ensuring timely and consistent review of disclosures, approvals, monitoring activities, and issue resolution in accordance with firm policy and regulatory expectations

• Serve as an escalation point for complex or high‑risk employee compliance matters, providing clear guidance, making risk‑based decisions, and partnering with Legal, HR, and senior Compliance leadership as needed

• Lead and implement strategic projects and initiatives, including system enhancements, policy updates, workflow automation, and process redesign efforts to strengthen controls and improve scalability

• Drive continuous process improvement and operational efficiency, identifying opportunities to streamline workflows, enhance monitoring capabilities, and leverage technology to reduce manual effort and control gaps

• Partner cross-functionally with stakeholders across Compliance, Legal, Technology, and business units to ensure alignment on policy interpretation, implementation, and risk mitigation

• Design, enhance, and oversee compliance reporting and analytics, including dashboards, trend analysis, and management reporting to provide insight into employee behavior and control effectiveness

• Identify and communicate emerging risks, trends, and observations to Global Compliance Management, including thematic issues, control gaps, and opportunities for policy or procedural enhancements

• Contribute to the evolution of the firm’s Code of Ethics and related policies, ensuring alignment with regulatory developments, industry practices, and the firm’s risk appetite

• Promote a strong culture of compliance and ethical behavior, providing guidance, training, and transparency to associates and leadership on expectations and best practices

Qualifications

Required:

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

• 8+ years of total relevant work experience

Preferred:

• Strong critical thinking, analytical, investigative, and risk evaluation skills, including the ability to develop practical and scalable solutions to complex ethical and compliance matters.

• Demonstrated people leadership capabilities, including coaching, talent development, performance management, delegation, and team engagement.

• Excellent verbal, written, and interpersonal communication skills with the ability to engage effectively with employees, senior leadership, regulators, and stakeholders across geographies and business functions.

• Demonstrated success leading cross-functional compliance initiatives within a complex global organization

• Proven ability to influence stakeholders, drive collaboration, and lead organizational change initiatives in a matrixed environment.

• Experience with compliance technology platforms, surveillance systems, workflow automation tools, and AI-enabled compliance solutions.

• In-depth knowledge of global regulatory frameworks governing personal conduct, conflicts of interest, fiduciary obligations, and ethics-related compliance requirements.

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,andInclusion

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

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.

About Us

T. Rowe Price is an asset management firm focused on delivering global investment management excellence and retirement services that investors can rely on–now, and over the long term.

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