Analyst, Investment Compliance Services and Regulatory Reporting

Job description

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 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 c...