Director, Investment Compliance

Baltimore, Maryland, United States

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Not SpecifiedCompensation

Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial ServicesIndustries

Requirements

The ideal candidate will have proven leadership experience in investment compliance within the financial services and asset management industry. Experience overseeing both implementation and monitoring functions, including compliance coding knowledge in Charles River (CRD), is essential. Strong experience managing relationships with Investment and Trading personnel and a deep understanding of investment strategy and permissibility are required.

Responsibilities

The Director, Investment Compliance will lead and mentor the North America Investment Compliance team, fostering a culture of accountability and continuous improvement. This role involves setting the strategic direction for the implementation and monitoring functions, driving departmental synergies, and integrating technology solutions to enhance operational efficiency. Responsibilities include onboarding and maintaining accounts by coding restrictions, reviewing investment activity for compliance, resolving intraday exceptions, and collaborating with various stakeholders across the firm to manage an integrated compliance program.

Skills

Investment Compliance

Financial Services

Asset Management

Charles River (CRD)

Order Management Systems

Regulatory Compliance

Leadership

Team Management

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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