Director, Investment 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

Investment Compliance is a dynamic team within Global Investment Operations. The team is responsible for ensuring adherence with a diverse set of requirements, including regulatory, prospectus, client-directed, internal investment, and operational restrictions for portfolios managed by T. Rowe Price. 

We are seeking an experienced and proven leader to drive the evolution of our compliance function for the North America team, applying a technical lens combined with industry expertise in financial services and asset management. The ideal candidate will lead two functions within Investment Compliance, overseeing the Implementation and Monitoring teams. The Implementation team is responsible for the onboarding and continuous maintenance of new accounts and products by coding restrictions into the firm’s order management system, Charles River (CRD). The Monitoring team plays a key role in the investment lifecycle by reviewing investment activity to ensure compliance with overnight and intraday alerts, interfacing directly with investment staff to resolve intraday exceptions, and supporting client and fund reporting.  

The North America Investment Compliance leader will be responsible for driving departmental synergies and creating a continuous feedback loop between Implementation and Monitoring teams. The individual should possess experience overseeing both functions, including compliance coding knowledge in addition to experience managing relationships with Investment and Trading personnel. This role will drive change by integrating technology solutions, refining workflows, and evolving our operational compliance practices to support firm growth.  

Responsibilities

• Leadership & Team Management: Direct, mentor, and develop a team of associates focused on supporting the North America region (United States and Canadian portfolios). Foster a culture of accountability, collaboration, and continuous improvement. Develop and enhance procedures to reflect evolving changes to internal workflows or regulatory standards.
• Strategy & Execution: Together with the Global Head of Investment Compliance, set the vision and strategic direction for the Implementation and Monitoring functions and lead initiatives to execute on enhancing operational efficiency. Maintain and expand knowledge of emerging industry trends or technologies, assessing and adopting best practice to ensure optimal effectiveness of our compliance program.
• Cross-Functional Stakeholder Management: Collaborate with diverse stakeholders including Investment, Trading, Client Services, Audit, Legal, and Operations leadership to manage and extend an integrated compliance program across the firm. Comfortable with front office interactions and able to communicate effectively, understanding investment strategy alongside investment permissibility. Serve as a trusted liaison and escalation point for senior stakeholders, ensuring a seamless flow of information and rapid response to potential issues.
• Investment Compliance Expertise: Demonstrates deep understanding and practical application of comp