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About the Role

This position is responsible for onboarding new accounts and products, overseeing amendments to existing accounts, and programming compliance monitoring systems. The role involves pre-trade, post-trade, and portfolio monitoring, alert investigation, reporting, and stakeholder notification. The analyst will consult with investment personnel and other parties, assess the impacts of regulatory changes, and manage assigned projects.

Responsibilities

Support the implementation of client and regulatory investment restrictions by analyzing guideline requirements, assessing coding feasibility, and translating requirements into effective compliance monitoring rules
Partner with internal stakeholders, including investment, legal, client service, and operations teams, to clarify guideline intent and ensure rule coding aligns with portfolio strategy and regulatory obligations
Evaluate compliance system capabilities, data availability, and operational impacts to determine appropriate coding solutions
Manage implementation pipelines, meet inception deadlines, and escalate risks, roadblocks, or ambiguities that could impact delivery or monitoring effectiveness
Perform testing and validation of new or updated restrictions to ensure rules function as intended and support accurate monitoring
Monitor pre-trade, post-trade, batch, and manual compliance controls to assess permissibility, identify potential issues, and support timely resolution
Perform test trade reviews for deals, corporate actions, and in-kind transitions to validate compliance with account restrictions
Escalate potential compliance violations, operational risks, or unresolved issues to management and participate in resolution efforts as needed
Support the client reporting process by contributing to accurate compliance review and reporting activities
Continuously seeks opportunities to enhance efficiency by identifying process improvement opportunities
Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
Recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data because of system upgrades
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
Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
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 user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency

Requirements

Bachelor's degree or the equivalent combination of education and relevant experience
5+ years of total relevant work experience
Experience using AI-enabled tools, automation, or data-driven techniques to improve manual monitoring, exception review, rule extraction, or rule-building processes within an investment compliance or control environment.
Demonstrable experience identifying opportunities to apply AI, automation, or workflow enhancement tools to reduce manual effort, improve accuracy, and strengthen oversight across monitoring and rule coding activities.
Practical understanding of how AI or emerging technologies can be used responsibly to enhance investment compliance processes, including alert review, rule interpretation, documentation analysis, and control effectiveness.
Experience with Trading/IBOR/OMS systems, experience with CRD, Aladdin, or comparable compliance platform a plus.
Practical understanding of investment products and security types, including equities, fixed income, and derivatives.
Strong understanding of EMEA regulatory frameworks such as UCITS (Luxembourg, UK OEIC, Ireland ICAV and German jurisdictions), AIFMD. Other regulatory frameworks would be beneficial.
Strong analytical, research, and problem-solving skills, preferably within investment compliance, investment operations, or a related financial services function.
High attention to detail with a demonstrated commitment to accuracy, quality, and sound judgment.
Strong organizational skills with the ability to manage multiple priorities, meet deadlines, and adapt in a dynamic, trading-oriented environment.
Experience with leveraging AI solutions for process augmentation and automation.
Effective written and verbal communication skills, with the ability to collaborate across investment, trading, legal, operations, and client-facing teams.
Strong client service mindset and interpersonal skills, with the ability to build relationships and contribute effectively in a team-oriented environment.

Skills

Charles River (CRD)
AI-enabled tools
Automation
Data-driven techniques
Investment compliance
Trading/IBOR/OMS systems
Aladdin
Investment products
Equities
Fixed income
Derivatives
EMEA regulatory frameworks
UCITS
AIFMD
Analytical skills
Research skills
Problem-solving skills
Attention to detail
Organizational skills
Written communication skills
Verbal communication skills
Client service mindset
Interpersonal skills

Location

Hybrid

Work Type

Hybrid
Full-time

Experience Level

5+ years

Education Level

Bachelor's degree

About the Company

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 for portfolios managed by T. Rowe Price.