Senior Manager, Investment Compliance

## Senior Manager, Investment Compliance Apply locations:
Baltimore, MDtime type:
Full time posted on:
Posted Todayjob requisition :
82256

At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. 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. With a career at the firm, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.

Join us for the opportunity to grow and make a difference in ways that matter to you.
** Role Summary
** 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,…