Sr. Analyst, Investment Compliance - NA Monitoring
Core
Senior analyst ensuring investment activities comply with regulatory, prospectus, and internal restrictions for T. Rowe Price portfolios.
Role type
Senior IC investment compliance analyst (monitoring)
Builds
Compliance monitoring reports and client investment restriction adherence
Domain
Asset Management / Investment Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery
Required skills
Charles River (CRD) system expertise, pre-trade/post-trade alert analysis, test trade execution, regulatory guideline interpretation, manual process management, violation escalation, rule library optimization
Preferred skills
Investment security types knowledge (stocks, bonds, derivatives), analytical skills, attention to detail, project leadership, documentation development
Technologies
Charles River (CRD), Trading/IBOR/OMS systems
Responsibilities
Analyze compliance alerts to assess permissibility; conduct test trades for deals and corporate actions; oversee manual processes not coded in systems; proactively identify and escalate potential violations; participate in Global Client Investment Reporting (GCIR); drive automation and process improvements; lead medium-complexity projects regarding regulatory changes.
Seniority
Senior, hands-on IC