Senior Manager, Investment Compliance

T. Rowe Price • Baltimore, MD

8d • $110,000 - $236,000 • Hybrid

About The Position

The Senior Manager, Investment Compliance leads the Monitoring function within Global Investment Operations’ global Investment Compliance team. The role is responsible for the strategic direction, governance framework, and execution oversight of compliance monitoring in Charles River (CRD) and associated client reporting processes. The team helps ensure portfolios comply with regulatory, prospectus, client-directed, internal investment, and operational restrictions.

The position partners with senior stakeholders across Investment, Legal, Risk, and Operations to interpret and implement compliance restrictions, strengthen controls, and advance scalable, risk-based monitoring practices. It leads process improvements, operating model enhancements, automation and innovation, and third-party oversight. The role also leads and develops team members and drives alignment across global monitoring teams.

The position is based at the Harbor Point headquarters in Baltimore, Maryland, with a hybrid schedule of four days per week in the office and one day working from home.

Requirements

• Bachelor’s degree or an equivalent combination of education and relevant experience.
• At least 8 years of total relevant work experience.

Nice To Haves

• Experience with trading, order management, and compliance systems, specifically Charles River, Aladdin, or similar platforms.
• Strong understanding of investment products, including equities, fixed income, and derivatives.
• Experience leading teams or functional areas within Trade Support, Trade Administration, or Investment Compliance.
• Demonstrated ability to lead complex cross-functional initiatives and drive process transformation in a risk-controlled environment.
• Strong analytical, research, and problem-solving skills, including the ability to interpret complex issues and identify practical solutions.
• Strong attention to detail, sound judgment, and 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.

Responsibilities

• Lead execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD).
• Advise stakeholders on complex compliance guideline interpretations, partnering with Trading, Investment, Client, Legal, Risk, and Operations teams.
• Own governance and risk assessment of manual monitoring processes and prioritize automation opportunities to improve scalability, control effectiveness, and operational efficiency.
• Manage identification, escalation, and resolution of compliance violations, including systemic issue analysis and remediation guidance.
• Partner with Investment Compliance Implementation to refine the rule library and monitoring framework.
• Partner with Investment Compliance Business Solutions to implement solutions that mitigate risk and address process inefficiencies.
• Oversee Monitoring contributions to Global Client Investment Reporting (GCIR).
• Lead automation and innovation initiatives, including enhancements and AI-enabled tools to 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.
• Direct responses to regulatory changes and new investment products to ensure appropriate monitoring coverage and ongoing compliance readiness.
• Establish documentation, procedure, and control-design standards 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.
• Oversee outsourced monitoring activities, including vendor performance reviews, issue remediation, and vendor-related due diligence as needed.
• Drive alignment across global teams to ensure consistency in monitoring practices, governance standards, and execution.

Benefits

• Competitive compensation.
• Annual bonus eligibility.
• A generous retirement plan.
• Hybrid work schedule.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior