Investment Compliance Associate, Monitoring

T. Rowe Price
Baltimore
Workplace: HybridFull timeUSD 59,000 - 118,000 annuallyFunction: Legal, Risk & ComplianceExperience: 2+ yearsEducation: bachelorsSkills: ["Attention to detail","Communication","Organizational skills","Research and problem-solving","Team player"]

Ensure compliance for investment portfolios by reviewing pre-trade, post-trade, and batch alerts in Charles River (CRD) against regulatory, prospectus, client-directed, internal, and operational restrictions. Coordinate with trading, legal, investment, and client operations teams, monitor manual processes, escalate potential violations and data issues, support Global Client Investment Reporting (GCIR), and drive process improvements and automation to reduce risk and improve monitoring accuracy.

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T. Rowe Price
T. Rowe Price
2 days ago

Investment Compliance Associate, Monitoring

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Source: Company careers pageValidated by: Fursa AI
Last checked: 21 hours agoStatus: Live

Job Summary

Ensure compliance for investment portfolios by reviewing pre-trade, post-trade, and batch alerts in Charles River (CRD) against regulatory, prospectus, client-directed, internal, and operational restrictions. Coordinate with trading, legal, investment, and client operations teams, monitor manual processes, escalate potential violations and data issues, support Global Client Investment Reporting (GCIR), and drive process improvements and automation to reduce risk and improve monitoring accuracy.
Location: Baltimore
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Analyze pre-trade, post-trade, and batch compliance alerts in CRD to assess permissibility and liaise with trading, legal, client operations, and/or investment personnel to interpret guidelines.
  • •Communicate directly with Trading, Investment, Client, and Legal associates to support compliance monitoring and client guidance.
  • •Monitor and manage manual process items not coded into CRD, and maintain organized records of alert reviews, research, decisions, and escalations.
  • •Identify, escalate, and participate in resolution of potential compliance violations, data issues, process questions, or unusual alert activity.
  • •Support process improvement and automation by recommending and implementing solutions, building knowledge of CRD or comparable systems, and contributing to monitoring rule optimization and related projects.

Pay and Benefits

Salary: USD 59,000 - 118,000 annually
Perks:Annual BonusRetirementHybrid WorkPaid LeaveOnline Therapy

Key Requirements

  • •Bachelor's degree or the equivalent combination of education and relevant experience.
  • •2+ years of relevant work experience preferred, including investment operations, compliance, trading support, portfolio operations, client reporting, data analysis, financial services, or a related field.
  • •Foundational understanding of investment products and security types (equities, fixed income instruments, funds, or derivatives) or a demonstrated interest in developing this knowledge.
  • •Familiarity with trading, IBOR, order management, compliance, reporting, or data systems preferred.
  • •Strong analytical skills, attention to detail, and strong written and oral communication skills; able to manage multiple tasks in a dynamic, trading-related environment.
Experience:2+ yearsFinancial servicesInvestment operationsInvestment complianceTrading supportClient reportingData analysis
Education:Bachelor's
Skills:Attention to detailCommunicationOrganizational skillsResearch and problem-solvingTeam player
Tech Stack:Charles River (CRD)IBOROrder managementGlobal Client Investment Reporting (GCIR)

Company Brief

T. Rowe Price
Global investment management firm offering mutual funds, retirement services, and advisory solutions for individual and institutional investors. Manages assets across equities, fixed income, multi-asset, and alternative strategies.
Industry: Asset Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Baltimore, United States
Founded: 1937
WebsiteLinkedIn