Associate Analyst, Code Compliance

T. Rowe Price; Owings Mills (MD); Hybrid; USD 59,000 - 94,500; Full time

Benefits offered by this job

Hybrid work schedule

Annual bonus eligibility

Retirement plan

Health and wellness benefits

Paid time off

Fertility and adoption benefits

Job summary

T. Rowe Price seeks an Associate Analyst, Code Compliance to support proactive oversight of employee conduct and conflicts of interest.

You will identify policy violations such as personal trading, outside activities, gifts, and political contributions, and guide remediation with business partners. You will collaborate across business units, review disclosures, monitor activities, investigate exceptions, and help implement improvements and automation to increase efficiency and strengthen

Qualifications

• College degree and 2+ years of related work experience.
• Strong analytical and problem-solving skills with trend identification and data evaluation.
• Experience with investigation: analyze exceptions, evaluate facts, escalate risks.
• Effective communication to explain requirements to associates and partners.
• Preferred: compliance, risk management, audit, or regulatory reporting experience.
• Experience with compliance systems (StarCompliance or similar) and cross-functional collaboration.

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 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.

Skills

Strong Analytical and Problem-Solving

Investigation

Communication Skills

Education

College degree

Tools

Excel

StarCompliance

Job description

Role Summary

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: Ability to identify trends, evaluate data, and recommend process improvements or risk mitigation strategies.

Experience with Investigation: Ability to analyze exceptions, investigate issues, evaluate facts, and exercise sound judgment when identifying and escalating compliance risks.

Communication Skills: 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

• Maryland, Colorado, Washington and remote workers: $59,000.00 - $94,500.00
• Washington, D.C.: $61,000.00 - $104,000.00
• New York, California: $69,500.00 - $118,000.00

Benefits

Competitive compensation; annual bonus eligibility; generous retirement plan; hybrid work schedule; health and wellness benefits, including online therapy; paid time off for vacation, illness, medical appointments, and volunteering days; family care resources, including fertility and adoption benefits.

EEO Statement

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, color, 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.