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Senior Manager, Investment Compliance
T. Rowe Price. Lead the execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD) .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance monitoring and risk management within trading environments, with a strong focus on process improvement and automation. Proven ability to lead cross-functional initiatives and develop teams while ensuring adherence to compliance standards and regulatory requirements.
Highest-signal resume keywords
Charles River Compliance SystemsInvestment Compliance LeadershipProcess Improvement and AutomationRegulatory Change ManagementAnalytical and Problem-Solving Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance MonitoringRisk MitigationData-Driven InsightsTrend AnalysisInvestment Products KnowledgeOrder Management SystemsRule OptimizationCross-Functional Initiative LeadershipAutomation ToolsDocumentation Standards
Soft Skills
Interpersonal CommunicationAttention to DetailSound JudgmentAdaptabilityTeam Development
Industry Keywords
Trading ComplianceEquitiesFixed IncomeDerivativesVendor Performance ManagementGlobal Client Investment ReportingMonitoring FrameworkRegulatory ImplementationOperating Model ChangesTalent Development
About the role
Key responsibilities & impact- Lead the execution and oversight of pre-trade, post-trade, and batch compliance monitoring activities within Charles River (CRD)
- Advise stakeholders on complex compliance guideline interpretations
- Govern and assess manual monitoring processes and prioritize automation opportunities
- Manage identification, escalation, and resolution of compliance violations
- Refine the firm’s rule library and monitoring framework
- Identify and implement solutions to mitigate risk and address process inefficiencies
- Oversee Monitoring contributions to Global Client Investment Reporting (GCIR)
- Lead automation and innovation initiatives, including AI-enabled tools
- Drive process improvement and rule optimization using trend analysis and data-driven insights
- Lead complex cross-functional initiatives involving system enhancements, regulatory implementation, and operating model changes
- Direct responses to regulatory changes and new investment products
- Establish documentation, procedure, and control-design standards
- Lead and develop team members, including talent development and succession planning
- Oversee outsourced monitoring activities and vendor performance
- Drive alignment across global teams on monitoring practices and governance standards
Requirements
What you’ll need- Bachelor’s degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- Experience with trading, order management, and compliance systems, specifically Charles River or similar platforms
- Strong understanding of investment products, including equities, fixed income, and derivatives
- Experience leading teams or functional areas within Investment Compliance
- Demonstrated ability to lead complex cross-functional initiatives and drive process transformation in a risk-controlled environment
- Strong analytical, research, and problem-solving skills
- Strong attention to detail, sound judgment, and ability to adapt and lead effectively in a dynamic, trading-related environment
- Strong interpersonal, written, and verbal communication skills
- FINRA licenses are not required and will not be supported for this role
- Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States
Benefits
Comp & perks- 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