Head of Investment Compliance

Head of Investment Compliance

Role Summary:

The Head of Investment Compliance will be responsible for coordinating the service and delivery of a critical part of T. Rowe’s investment lifecycle by implementing and monitoring compliance with investment management guidelines and restrictions for all accounts managed by T. Rowe Price.  As a member of the Global Investment Operations (GIO) Leadership Team, this leader must manage to a high standard of excellence in support of our Investment and Trading teams while collaborating regularly with Corporate Compliance, Legal, Data, Technology, Risk and Client servicing teams.  This individual will partner with GIO leaders in the respective region to provide our services at a consistently high level of quality for all accounts across the globe. 

The Head of Investment Compliance is a global lead position and will set the vision and strategy for the Investment Compliance team made of 40+ associates in APAC, EMEA and the US.  This leader is responsible for the service continuity and quality and will direct a team that is mixed of direct and indirect reporting lines.  In addition, this leader must build strong relationships, influence outcomes, and build a strong sense of team.  As needs change, the leader will be required to balance services and resources across accounts and routinely foster a client service mindset for the team. The leader will develop operational goals that are aligned to support our functional needs and overall GIO strategy.  This leader must create a challenging and rewarding environment for our Investment Compliance (IC) associates that focuses on technical training, professional development, and long-term career growth.

Responsibilities:

• Produces a high-quality Investment Compliance operating model that focuses on risk management, operational efficiency, and client service.

• Leverages expertise and knowledge of the broader industry, markets and regulatory trends to proactively lead changes in processes, protocols, and/or technologies to support the current and future Investment Compliance responsibilities.

• Manages relationships with partner areas, ensuring health of the relationship and timely escalation. 

• Delivers operational solutions in collaboration with the Data Office and Technology teams to enable overall business objectives.

• This leader will combine experience in Investment Compliance operations, technology/workflow design, and trade management to build a highly functioning team that supports T Rowe’s investment process. 

• Implements workflow solutions that create efficiency and increase transparency for critical IC processes.

• Organizes and maintains a high functioning IC Lead Team across regions.

• Recruits, directs, motivates, and develops diverse and talented professionals to maximize their individual contributions, their professional growth, and their ability to function effectively with their colleagues as one global GIO team.

Typical Qualifications:

• Bachelor's degree or the equivalent combination of education and relevant experience AND

• 12+ years of total relevant work experience and 5+ years of management experience

• Proven track-record of driving a strategic technology roadmap and executing on transformational change.

Preferred Qualifications:

• Thorough understanding of compliance technology solutions in the market and demonstrated ability to leverage and change technology to solve challenges.

• Extensive experience with Investment Compliance, Trade or Investment Support, and Automation/Technology solutions.

• Strategic thinker and influencer

• Ability to align stakeholders by illustrating complex issues through clear and concise deliverables.

• Ability to develop high performing teams and assess talent.

• Strong managerial skills

• Strong customer service orientation

• Excellent written and verbal communication and presentation skills.

• Proven success operating in a matrixed organizational structure.

• Experience with Charles River’s Investment Compliance functionality.

• Experience working with service providers and strategic outsourcing partners.

FINRA Requirements:  FINRA licenses are not required and will not be supported for this role.

Work Flexibility:  This role is eligible for remote work up to two days a week.