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, y ou can expect opportunities to create real impact at work and in your community. Y ou’ll enjoy resources to support your career path, a s well as compensation , benefits , and flexibility to enrich your life. Here, you’ll find a collaborative culture that respect s and valu e s differences and colleagues who share a spirit of generosity .
Join us for the opportunity to g row and make a difference in ways that matter to you .
ABOUT THIS POSITION
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 (“Compliance Restrictions”) for portfolios managed by T. Rowe Price.
This position sits within the Investment Compliance Team in Asia Pacific which plays a crucial role in reviewing investment activities as it relates to Compliance Restrictions coded into the firm’s investment compliance monitoring system, Charles River (CRD), investigating investment breaches, supporting client reporting and escalation for Asia Pacific business. Additionally, this role will be involved in the compliance rule building process, when necessary.
Investment Compliance associate collaborates with, and provides information to a diverse range of stakeholders, including investment personnel, legal counsel, client operations managers, and other internal and external partners. The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.
We welcome applicants from all backgrounds and experiences, as we believe diverse perspectives contribute to our success.
Principal Responsibilities
TRADING/PORTFOLIO COMPLIANCE:
Responsible for pre-trade, post-trade & batch monitoring activities of investment guidelines in support of the Asia Pacific offices including but not limited to:
Reviewing compliance exceptions in a timely manner/within established deadline, providing subject matter expertise and communicating critical information to a diverse range of stakeholders, including investment personnel (Portfolio Managers, Analysts, Traders and Investment Trading Solutions), legal counsel, client operations managers, and other internal partners.
Investigating, reporting and escalating compliance breaches internally. Ensuring the relevant stakeholders (Investment Trading Solutions, Investment Operations, Global Client Operations and Risks, etc.) are notified in a timely manner & keeping them abreast of updates until the breaches are resolved. Collaborating with a diverse range of stakeholders, including investment personnel, Investment Operations, Global Client Operations, Legal or Risk to resolve compliance issue where appropriate
Providing consultative compliance support to the Equity, Fixed Income and Multi-Asset investment business and support functions in Asia Pacific region. Acting as a local contact point for investment personnel in Hong Kong, Singapore and Australia for questions related to investment compliance matters, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage
Demonstrating initiative and independently thinking by regularly reviewing processes to identify areas of risk and potential improvement
Working closely with the compliance monitoring team based in the…