Investment Compliance Associate, Monitoring
Core
Monitor investment activities against compliance restrictions in the Charles River system and manage manual compliance processes for T. Rowe Price portfolios.
Role type
Investment Compliance Analyst (Monitoring)
Builds
Compliance monitoring reports and violation resolutions for equity, fixed income, and multi-asset portfolios
Domain
Asset Management / Investment Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Analytical skills, attention to detail, research skills, problem-solving, organizational skills
Preferred skills
Investment operations experience, trading support experience, portfolio operations experience, data analysis experience, familiarity with trading and compliance systems
Technologies
Charles River (CRD), IBOR, order management systems
Responsibilities
Analyze pre-trade, post-trade, and batch compliance alerts to assess permissibility; Identify and escalate potential compliance violations and data issues; Monitor and manage manual processes items not coded into the monitoring system; Participate in the Global Client Investment Reporting process; Develop understanding of investment strategies and security types; Continuously seek opportunities to enhance efficiency and drive automation in compliance processes
Seniority
Mid-level, hands-on IC