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 UK & the US
• Providing regular reporting to internal stakeholders
• Completing manual monitoring and/or client compliance certifications

RULE BUILDING:

Responsible for maintaining rules in the investment compliance system (ie Charles River) covering the Asia Pacific region:

• Programming logic-based operational rules in Charles River upon the request of relevant stakeholders (Traders, Investment Trading Solutions, Investment Operations, Legal and Compliance, etc.) to mitigate the risk of potential operational errors
• Programming logic-based rules in Charles River in order to effectively monitor client and regulatory requirements
• Collaborating with investment staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio
• Evaluating compliance system functionality and available data elements to determine how restrictions can be captured in the compliance systems
• Working closely with the rule building teams based in the UK & the US

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience
• Minimum of 3 years relevant investment compliance experience
• Solid experience in the investment management industry. Prior experience in dealing with investment personnel (including trading team) is a plus.
• Knowledge of MPF, UCITS, 1940 Act, Japan JITA (and other jurisdictions in Asia is a plus)
• Prior experience with trading/compliance systems, such as Charles River preferred
• Solid knowledge of securities instruments, fixed income is a must. Familiar with derivative instruments.
• Ability to adapt and thrive in a dynamic environment with evolving priorities
• Team worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
• Good analytical skills and ability to make critical, time sensitive decisions
• Strong communication skills
• Good command of spoken and written English and Chinese
• Working hour flexibility

Commitment to Diversity, Equity, and Inclusion:

At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all. 

T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.