Senior Manager, Investment Compliance

Senior Manager, Investment Compliance

At T. Rowe Price, our mission is to help clients achieve their long-term financial goals. As part of Global Investment Operations (GIO) Investment Compliance is a global team responsible for helping ensure portfolios are managed in accordance with regulatory, prospectus, client-directed, internal investment, and operational restrictions. This role offers the opportunity to lead a highly visible monitoring function with broad impact across the firm, partnering with senior stakeholders to strengthen controls, guide complex compliance matters, and advance scalable, risk-based monitoring practices in a dynamic global environment.

The Senior Manager, Investment Compliance leads the Monitoring function and is responsible for the strategic direction, governance framework, and execution oversight of compliance monitoring activities within the firm's Investment Compliance monitoring system, Charles River (CRD), as well as associated client reporting processes. The role partners with senior stakeholders across Investment, Legal, Risk, and Operations to support effective interpretation and implementation of compliance restrictions and to drive process improvements, operating model enhancements, and third-party oversight aligned with Investment Compliance priorities.

Responsibilities

• Lead the execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD).
• Serve as a subject matter expert and advisor on complex compliance guideline interpretations, partnering with Trading, Investment, Client, Legal, Risk, and Operations stakeholders.
• 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.
• Provide leadership and oversight of Monitoring contributions to Global Client Investment Reporting (GCIR).
• 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.
• Direct responses to regulatory changes and new investment products to ensure appropriate monitoring coverage and ongoing compliance readiness.
• 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.
• Provide oversight of outsourced monitoring activities, including vendor performance reviews, issue remediation, and support for vendor-related due diligence as needed.
• Drive alignment across global teams to ensure consistency in monitoring practices, governance standards, and execution.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 8+ years of total relevant work experience

Preferred:

• 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.
• Demonstrated ability to lead complex cross-functional initiatives and drive process transformation in a risk-controlled environment.
• Strong analytical, research, and problem-solving skills, with the ability to interpret complex issues and identify practical solutions.
• 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

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home. 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-immigrant work status).

Base Salary Ranges

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