T. Rowe Price

Senior Manager, Investment Compliance

Baltimore, MD · Senior

No sponsorship$110k-$188kDetected 6 days ago

Process ImprovementPerformance ManagementResearchLeadershipCommunicationProblem Solving

About the role

Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world.
We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident.
We believe doing the right thing for our clients and our associates is good business.

Lead the execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD).
Own the governance and risk assessment of manual monitoring processes, including prioritization of automation opportunities to improve scalability, control effectiveness, and operational efficiency.
Manage the identification, escalation, and resolution of compliance violations, including analysis of systemic issues and guidance on remediation.
Partner with Investment Compliance Implementation to refine and improve the firm's rule library and monitoring framework.
Partner with Investment Compliance Business Solutions to identify and implement solutions that mitigate risk and address process inefficiencies.
Lead automation and innovation initiatives, including enhancements and AI-enabled tools that improve monitoring accuracy, consistency, and efficiency.
Drive the strategic roadmap for process improvement and rule optimization using trend analysis and data-driven insights.
Lead complex, cross-functional initiatives affecting Monitoring, including system enhancements, regulatory implementation, and operating model changes.
Establish standards for documentation, procedures, and control design to support consistency, governance, and audit readiness.
Lead and develop team members by setting performance expectations, strengthening team capability, and supporting talent development and succession planning.

8+ years of total relevant work experience
Experience with trading, order management, and compliance systems, specifically Charles River or similar platforms.
Strong understanding of investment products, including equities, fixed income, and derivatives.
Experience leading teams or functional areas within Investment Compliance.
Strong analytical, research, and problem-solving skills, with the ability to interpret complex issues and identify practical solutions.
FINRA licenses are not required and will not be supported for this role.
Required:
Bachelor's degree or the equivalent combination of education and relevant experience AND
Preferred:
Demonstrated ability to lead complex cross-functional initiatives and drive process transformation in a risk-controlled environment.
Strong attention to detail, sound judgment, and the ability to adapt and lead effectively in a dynamic, trading-related environment.
Strong interpersonal, written, and verbal communication skills, with the ability to influence and collaborate effectively across stakeholders.
FINRA Requirements
Work Flexibility

$110,000.00 - $188,000.00 for the location of: Maryland, Colorado, Washington and remote workers
$121,000.00 - $207,000.00 for the location of: Washington, D.C.
$138,000.00 - $236,000.00 for the location of: New York, California
Base salary is only one component of our total compensation package.

As an associate, you'll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.
Featured employee benefits to enrich your life:
Annual bonus eligibility
A generous retirement plan
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits
Learn more about our benefits.

Here, you can expect equal opportunity and fair and consistent treatment for all.
equal opportunity employer and values diversity of thought, gender, and race.

Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-i

This listing is sourced directly from T. Rowe Price's careers page and normalized into a canonical job model.