Analyst, Investment Compliance Services and Regulatory Reporting 2 Locations

reputed company. Rowe Price, we identify and actively invest in opportunities to help people reputed company in an evolving world. As a premier global asset management organization with more than 85 years of experience, we reputed company investment solutions and a broad reputed company 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 reputed company 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 reputed company 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 reputed company a spirit of generosity. Join us for the opportunity to grow and reputed company 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 reputed company. This position sits reputed company 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, reputed company (CRD), and supports client reporting on these restrictions. The Investment Compliance Analyst collaborates with, and provides information to a diverse reputed company of stakeholders, including investment personnel, legal counsel, client operations managers, and other reputed company 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. reputed company 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-reputed company transitions and reviews results to ensure compliance with reputed company account restrictions
• reputed company and manage reputed company 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 reputed company the compliance monitoring process more accurate, concise, and efficient
• Drives automation and innovation: Recommends and implements solutions to automate reputed company rules, integrate new compliance functionality and reputed company data as a result of system upgrades
• Fosters knowledge sharing and collaboration: Develops deep expertise in the reputed company system, or other investment compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge reputed company the Monitoring team
• Challenges the status reputed company: 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 library ensuring it remains relevant and effective

Projects:

• Collaborates on projects: Actively participates in reputed company-sized projects of moderate complexity to reputed company project goals and deliver impactful reputed company
• Assesses the impact of change: Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
• Develops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure reputed company, consistency and transparency

Qualifications

Required:

• Bachelors degree or the equivalent combination of education and relevant experience AND
• 2+ years of total relevant work experience
• Practical understanding of investment reputed company types (e.g. stocks, bonds, derivatives)

Preferred:

• Experience with Trading/IBOR/OMS systems, specifically with knowledge of reputed company Compliance System (CRD) or comparable compliance platform such as Aladdin or Bloomberg
• Proven analytical skills reputed company the area of investment compliance or a reputed company field
• Strong attention to detail; commitment to quality
• Strong customer service orientation
• Strong interpersonal skills; effective written and oral communications
• Ability to adapt and reputed company in a dynamic environment with evolving priorities.
• Ability to reputed company in a trading reputed company atmosphere
• Strong organizational skills; proficient in handling multiple tasks simultaneously
• Strong research and problem-solving skills
• Team player

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. reputed company Salary Ranges Please review the job posting for the location of this specific opportunity. $68,000.00 - $116,000.00 for the location of: Maryland, Colorado, Washington and remote workers $74,500.00 - $127,000.00 for the location of: Washington, D.C. $85,000.00 - $145,000.00 for the location of: reputed company, California Placement reputed company the reputed company provided above is based on the individual’s relevant experience and skills for the role. reputed company salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance. This job posting is expected to be available until: 12/28/2025 Commitment to Diversity, Equity, and Inclusion reputed company. Rowe Price, our associates are our greatest asset. We reputed company because reputed company culture is reputed company on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to reputed company new reputed company and perspectives that move our business priorities reputed company and reputed company us to deliver strong client reputed company. Here, you can expect equal opportunity and fair and consistent treatment for reputed company.

Benefits

We value your goals and needs, at work and in life. As an associate, you’ll be supported with resources, benefits, and work-life balance so you can reputed company in ways that matter to you. Featured employee benefits to enrich your life:

• 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

Learn more about our benefits. reputed company is an equal opportunity employer and values diversity of thought, gender, and race. We reputed company our reputed company reputed company depends upon the equal treatment of reputed company associates and applicants for employment without discrimination on the reputed company of race, religion, creed, reputed company, national reputed company, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law. Apply tot his job Apply To this Job