T. Rowe Price

T. Rowe Price

Investment Compliance Associate, Monitoring

Baltimore, MD · Mid

Sponsorship not specified$59k-$95kDetected 63 days ago
Data AnalysisProcess ImprovementCustomer SupportResearchLeadershipCommunicationProblem SolvingOrganizational Skills

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odds of building a lasting career here

35Risky
Cap-exempt (no lottery)0
Sponsors this role72
Entry-level history0
PERM / green-card track0
Lottery odds (Level I)39
Fits your clock70

Thin sponsorship signal and lottery-bound (~15% per draw). A low-probability bet with your clock running. Prioritize cap-exempt roles and proven entry-level sponsors first.

Lottery odds assume a STEM candidate.

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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.

Responsibilities

  • Monitors and manages manual processes items not coded into CRD.
  • Maintain organized records of alert reviews, research, decisions, and escalations in accordance with team expectations and procedural requirements.
  • Drives automation and innovation: Recommends and implements solutions to automate manual rules, and supports the integration of new compliance functionality.
  • Builds system and process knowledge: Develops knowledge of Charles River or comparable compliance monitoring systems and applies that knowledge to daily monitoring responsibilities.
  • Supports research, analysis, testing, documentation, or implementation activities related to new or changing compliance monitoring requirements.
  • The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes.

Requirements

  • Proven analytical skills within the area of investment compliance or a related field
  • Ability to adapt and thrive in a dynamic environment with evolving priorities.
  • Ability to thrive in a trading-related atmosphere
  • 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.
  • 2+ years of relevant work experience preferred, including experience in 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, such as equities, fixed income instruments, funds, or derivatives, or a demonstrated interest in developing this knowledge.
  • Preferred:
  • Strong attention to detail
  • commitment to quality
  • Strong customer service orientation
  • Strong interpersonal skills
  • effective written and oral communications

Nice to have

  • Familiarity with trading, IBOR, order management, compliance, reporting, or data systems preferred.

Compensation

  • $59,000.00 - $94,500.00 for the location of: Maryland, Colorado, Washington and remote workers
  • $61,000.00 - $104,000.00 for the location of: Washington, D.C.
  • $69,500.00 - $118,000.00 for the location of: New York, California
  • This job is eligible for overtime pay.
  • Base salary is only one component of our total compensation package.

Benefits

  • 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.

Equal opportunity

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

Visa & Work Authorization

  • in, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by
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This listing is sourced directly from T. Rowe Price's careers page and normalized into a canonical job model.