Sr. Analyst, Investment Compliance - NA Monitoring

## Sr. Analyst, Investment Compliance - NA Monitoring Apply locations:
Baltimore, MDtime type:
Full time posted on:
Posted Todayjob requisition :
82986

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
** Investment Compliance is a global team responsible for ensuring compliance with a diverse set of requirements, including regulatory, prospectus, client-directed, internal investment, and operational restrictions (“Compliance Restrictions”) for portfolios managed by T. Rowe Price.

This position sits within the Monitoring team which plays a crucial role in reviewing investment activities as it relates to Compliance Restrictions coded into the firm’s investment compliance monitoring system, Charles River (CRD), and supports client reporting on these restrictions.

The Investment Compliance Senior Analyst collaborates with, and provides information to a diverse range of stakeholders, including investment personnel, legal counsel, client operations managers, and other internal and external partners.  The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.
** Responsibilities
* ** Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage
* Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility.  When necessary, liaises with trading, legal, client operations and/or investment personnel by assisting with interpretation of guidelines and communications to clients
* Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
* Oversee and manage manual processes items not coded into CRD
* Proactively identifies and escalates potential compliance violations to management and, if necessary, participates in the violation resolution process
* Actively participates in the Global Client Investment Reporting (GCIR) process
** Process Improvement:**
* ** Continuously seeks opportunities to enhance efficiency:
** Actively identifies process improvement opportunities
* ** Champions risk reduction**:
Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
* ** Drives automation and innovation**:
Recommends and implements solutions to automate manual rules, integrates new compliance functionality, and leverages data pursuant to system upgrades
* ** Fosters knowledge sharing and collaboration:
** Develops deep expertise in the Charles River system, or other investment compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team
* ** Challenges the status quo**:
Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
* ** Contributes to rule optimization:
** Actively monitors compliance alerts to identify trends and areas for improvement in the rule…