Sr. Analyst, Investment Compliance - NA Monitoring

T. Rowe Price
Baltimore
Workplace: HybridFull timeUSD 87,000 - 148,000 annuallyFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Attention to detail","Communication","Interpersonal skills","Analytical thinking","Organizational skills"]

Monitor and ensure investment compliance for portfolios by reviewing pre-trade, post-trade, and batch compliance alerts coded as Compliance Restrictions in Charles River (CRD). Collaborate with Trading, Investment, Client, and Legal stakeholders to assess permissibility, interpret guidelines, conduct test trades, and oversee manual processes. Proactively escalate potential violations, support Global Client Investment Reporting (GCIR), and drive process improvement through automation, rule optimization, and knowledge sharing.

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T. Rowe Price
T. Rowe Price
3 days ago

Sr. Analyst, Investment Compliance - NA Monitoring

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

Job Summary

Monitor and ensure investment compliance for portfolios by reviewing pre-trade, post-trade, and batch compliance alerts coded as Compliance Restrictions in Charles River (CRD). Collaborate with Trading, Investment, Client, and Legal stakeholders to assess permissibility, interpret guidelines, conduct test trades, and oversee manual processes. Proactively escalate potential violations, support Global Client Investment Reporting (GCIR), and drive process improvement through automation, rule optimization, and knowledge sharing.
Location: Baltimore
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Review pre-trade, post-trade, and batch compliance alerts in CRD to assess permissibility for Compliance Restrictions.
  • •Collaborate with Trading, Investment, Client, and Legal stakeholders to interpret guidelines and communicate with clients as needed.
  • •Conduct test trades for deals, corporate actions, and in-kind transitions, and review results to ensure account compliance.
  • •Oversee and manage manual compliance processes not coded into CRD.
  • •Proactively identify and escalate potential compliance violations and support the Global Client Investment Reporting (GCIR) process while driving process improvement and automation.

Pay and Benefits

Salary: USD 87,000 - 148,000 annually
Perks:RetirementPaid LeaveHealth Insurance

Key Requirements

  • •Bachelor’s degree (or equivalent combination of education and relevant experience) plus 5+ years of total relevant work experience.
  • •Experience with Trading/IBOR/OMS systems, including knowledge of Charles River Compliance System (CRD) or a comparable compliance platform.
  • •Practical understanding of investment security types, including stocks, bonds, and derivatives.
  • •Strong analytical skills in investment compliance or a related field.
  • •Excellent interpersonal skills and effective written and oral communication, with a strong attention to detail.
Experience:5+ yearsInvestment complianceTrading operations
Education:Bachelor's
Skills:Attention to detailCommunicationInterpersonal skillsAnalytical thinkingOrganizational skills
Tech Stack:Charles River (CRD)Charles River Compliance System (CRD)IBOROMSGlobal Client Investment Reporting (GCIR)Trading systems

Eligibility

Visa:H1BF1TN
Work Authorization:Authorization required. Sponsorship not provided.

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