Head of Enterprise Compliance

At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range 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 believe 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 real 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 share a spirit of generosity.  

Join us for the opportunity to grow and make a difference in ways that matter to you. 

Role Summary

The Head of Enterprise Compliance is a strategic senior leader responsible for designing, executing, and continuously enhancing the firm’s Enterprise Compliance Program. This role sets the strategic direction and oversees enterprise‑wide compliance activities to ensure strong governance, effective risk mitigation, and a consistent culture of compliance across the organization.

This role will maintain and advance the Compliance risk assessment framework, ensuring alignment with evolving regulatory expectations, business activities and the firm’s global operating model.  The role includes overseeing an independent, risk‑based testing and monitoring program that evaluates the effectiveness of business activities, processes, and controls. In addition, the role serves as a steward of ethical standards through oversight of the Codes of Conduct and Ethics, the firm’s policies and procedures governance framework, and enterprise training and education initiatives.

Partnering closely with global compliance subject matter experts, business leaders, and technology partners, the Head of Enterprise Compliance will leverage data, analytics, and emerging technologies, including automation and AI, to build a scalable, efficient compliance framework that strengthens control effectiveness and enhances regulatory readiness. The role is accountable for driving discipline, consistency and operational excellence across all core compliance pillars: regulatory risk assessment, policy and procedure governance, training and education, monitoring and testing, and reporting.

Responsibilities

Compliance Risk Assessment:

• Lead the identification, evaluation, and mitigation of compliance risks across the firm globally.
• Direct and conduct regular risk assessments, analyze emerging regulatory trends, and develop strategies to address potential vulnerabilities in investment activities, client interactions, and operational processes.
• Collaborate closely with global and regional compliance teams to ensure consistent standards, processes, and expectations across regions and business lines.
• Partner with Enterprise Risk Management to integrate the assessment and mitigation of compliance risks into the enterprise risk framework.

Policies & Procedures Governance:

• Lead the governance framework for enterprise‑level compliance policies and procedures.
• Ensure policies reflect current regulatory requirements, industry standards, and firm expectations.
• Partner with internal stakeholders to review, update, and communicate policy changes across the organization.

Compliance Training and Education:

• Design and deliver comprehensive training programs to educate employees at all levels on compliance obligations, ethical conduct, and risk awareness.
• Ensure global training is risk‑based, engaging, and tailored to various job functions and regulatory requirements.
• Oversee the creation of innovative and impactful educational materials, track participation and effectiveness, and promote a proactive compliance culture