Associate Analyst, Code Compliance

Role Summary

Code Compliance operates at the intersection of regulatory requirements, business strategy, and technology enablement, with a focus on proactively identifying and mitigating employee conflicts of interest across a complex global organization.

As the Associate Analyst, Code Compliance, you will support employee conduct oversight focused on proactively identifying and mitigating employee conflicts of interest and violations of TRP policy (ex: personal trading, outside activities, gifts and business entertainment, and political contributions).

In this role, you will partner with stakeholders of all seniority levels across all Business Units to provide guidance and remediation to conflicts of interest / policy violations that you identify through proactive monitoring and analysis.

Responsibilities

• Review and analyze employee disclosures, requests, certifications, and reporting requirements related to personal trading, outside activities, gifts and entertainment, political contributions, and other conflict-of-interest matters.
• Conduct ongoing monitoring and surveillance activities to identify policy exceptions, violations, emerging risks, and trends requiring further review or escalation.
• Investigate compliance exceptions and policy violations by gathering facts, evaluating circumstances, documenting findings, and supporting appropriate remediation and corrective actions.
• Respond to associate inquiries and provide practical guidance regarding Code of Ethics requirements, personal trading obligations, conflicts of interest, and related compliance policies and procedures.
• Contribute to process improvement and automation initiatives that increase operational efficiency, reduce manual effort, and strengthen compliance oversight.

Qualifications

Required:

• College degree and 2+ years of related work experience.
• Strong analytical and problem-solving skills with the ability to identify trends, evaluate data, and recommend process improvements or risk mitigation strategies.
• Demonstrated ability to analyze exceptions, investigate issues, evaluate facts, and exercise sound judgment when identifying and escalating compliance risks.
• Effective verbal and written communication skills with the ability to explain compliance requirements and provide practical guidance to associates and business partners.

Preferred:

• Professional  experience in compliance, risk management, audit, legal, regulatory reporting, financial services operations, or a related control function supporting regulatory or policy compliance activities.
• Experience working with compliance, governance, risk, surveillance, case management, workflow, or reporting systems (StarCompliance or similar employee compliance platforms preferred, not required).
• Experience partnering with cross-functional stakeholders, including Compliance, Legal, Human Resources, Technology, and business teams to resolve issues and support program objectives.
• Proficiency in Microsoft Excel and other reporting and data analysis tools, including the ability to manipulate, validate, and summarize information for management reporting and decision-making.

FINRA Requirements

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

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

Placement within the range provided above is based on the individual’s relevant experience and skills for the role.  Base salary is only one component of our total compensation package.  Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

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. 

Benefits