Analyst, Investment Compliance Services and Regulatory Reporting at T. Rowe Price

Baltimore, Maryland, United States

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Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

Requirements

Strong understanding of global compliance requirements, investment strategies, and derivative usage
Ability to communicate effectively through direct interaction with Trading, Investment, Client, and Legal associates
Deep expertise in the Charles River (CRD) system or other investment compliance monitoring systems

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 when necessary
Conduct test trades for deals, corporate actions, and in-kind transitions and review results to ensure compliance with all account restrictions
Oversee and manage manual process items not coded into CRD
Proactively identify and escalate potential compliance violations to management and participate in the violation resolution process if necessary
Actively participate in the Global Client Investment Reporting (GCIR) process
Continuously seek opportunities to enhance efficiency by identifying process improvement opportunities
Champion risk reduction by making the compliance monitoring process more accurate, concise, and efficient
Drive automation and innovation by recommending and implementing solutions to automate manual rules, integrate new compliance functionality, and leverage data from system upgrades
Foster knowledge sharing and collaboration by developing deep expertise in compliance systems and proactively sharing knowledge within the Monitoring team
Challenge the status quo by critically evaluating existing policies, procedures, and practices, and proposing innovative solutions
Contribute to rule optimization by actively monitoring compliance alerts to identify trends and areas for improvement in the rule library

Skills

Key technologies and capabilities for this role

Charles RiverCRDInvestment ComplianceRegulatory ReportingCompliance MonitoringPortfolio RestrictionsClient ReportingStakeholder Collaboration

Questions & Answers

Common questions about this position

What is the employment type for this position?

This is a full-time position.

Is this role remote or does it require office work?

This information is not specified in the job description.

What key skills are required for the Investment Compliance Analyst role?

The role requires strong understanding of global compliance requirements, investment strategies, and derivative usage, effective communication with diverse stakeholders, proficiency in analyzing compliance alerts in Charles River (CRD), and experience with test trades and manual processes.

What is the company culture like at T. Rowe Price?

T. Rowe Price offers a collaborative culture that respects and values differences, with colleagues who share a spirit of generosity, and emphasizes doing the right thing for clients and associates.

What makes a strong candidate for this analyst position?

Strong candidates will have experience with investment compliance monitoring systems like Charles River (CRD), the ability to analyze compliance alerts and conduct test trades, proactive problem-solving skills, and effective collaboration with trading, investment, legal, and client teams.

T. Rowe Price

Global asset management and investment advisory services

About T. Rowe Price

T. Rowe Price provides investment advisory services and retirement solutions to individual investors, financial intermediaries, and institutions. The firm employs a disciplined investment approach supported by extensive research to deliver long-term value. It generates revenue mainly through management fees based on the assets it manages, which amounted to $1.569 trillion as of June 30, 2024. T. Rowe Price serves a wide range of clients, including individual investors, retirement plan sponsors, and institutional investors like endowments and foundations. Its global reach and experienced investment teams enable the firm to offer various investment strategies and products, helping clients achieve their financial goals.

Baltimore, MarylandHeadquarters

1937Year Founded

$78,115.8MTotal Funding

IPOCompany Stage

Quantitative Finance, Financial ServicesIndustries

10,001+Employees

Benefits

Paid Volunteer Time

Parental Leave

Learning & Growth Resources

Matching Charitable Gifts

Health Care Benefits

Generous Retirement Plan

Risks

Increased competition from AI-powered platforms challenges T. Rowe Price's traditional strategies.

Departure of key personnel may impact T. Rowe Price's wealth management capabilities.

High valuations of AI startups could divert capital from traditional asset management firms.

Differentiation

T. Rowe Price offers a comprehensive range of investment strategies across various asset classes.

The firm emphasizes long-term value through disciplined investment and extensive research capabilities.

T. Rowe Price's global reach and diverse client base enhance its market position.

Upsides

Growing interest in AI-driven investment strategies presents new opportunities for T. Rowe Price.

The rise of quantum technology aligns with T. Rowe Price's focus on tech startups.

Collaboration trends in biotech offer potential investment opportunities in genetic medicine.

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