T. Rowe Price
Senior Analyst, Investment Compliance (Finance)
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 Senior 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 Senior Analyst consults with and provides information to investment personnel, attorneys, client operations managers and other internal and external parties. The Senior Analyst also assesses the impacts of regulatory changes, new investment strategies, and data changes on the rule library and manages projects assigned by the Lead Manager and/or the Investment Compliance management team.
Responsibilities
New account on-boarding, amendments to existing client documentation, and coding (using Charles River)
Process Improvement:
Projects:
Typical Qualifications
Preferred Qualifications
FINRA licenses are not required and will not be supported for this role.
T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer to see what's available to you.
As part of T. Rowe Price's Health and Safety protocols, effective October 19, 2021, any US-based new hires, including interns will be required to be fully vaccinated against COVID-19 or have a valid medical or religious exemption from receiving a COVID-19 vaccine.