T. Rowe Price UK

Financial Planning and Analysis

• Review pre-trade, post-trade, and batch investment guideline compliance monitoring for Asia Pacific offices
• Review compliance exceptions within established deadlines and communicate critical information to stakeholders
• Investigate, report, and escalate compliance breaches; track updates until resolution
• Collaborate with investment personnel, Investment Operations, Global Client Operations, Legal, Risk, and other stakeholders to resolve compliance issues
• Provide consultative compliance support to Equity, Fixed Income, and Multi-Asset investment businesses and support functions across Asia Pacific
• Serve as a local contact for investment compliance questions in Hong Kong, Singapore, and Australia
• Review processes to identify risks and potential improvements
• Work with compliance monitoring teams in the UK and US
• Provide regular reporting to internal stakeholders
• Complete manual monitoring and client compliance certifications
• Maintain investment compliance rules in Charles River for the Asia Pacific region
• Program logic-based operational, client, and regulatory rules in Charles River
• Collaborate with investment staff to align rule coding with client/regulatory requirements and portfolio investment strategies
• Evaluate compliance system functionality and data elements for capturing restrictions
• Manage projects assigned by Investment Compliance leadership

Explore Senior Analyst, Investment Compliance – APAC at T. Rowe Price UK. Review requirements and application details.

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Senior Analyst, Investment Compliance – APAC