Sr. Manager, Code Compliance

Responsibilities

• Lead and manage the Code Compliance function, providing strategic direction and oversight of activities related to employee personal trading, outside activities, gifts & entertainment, and conflicts of interest frameworks
• Directly manage and develop team, including setting objectives, providing ongoing coaching and feedback, and supporting career development to build deep subject matter expertise and strong judgment
• Oversee day‑to‑day compliance operations, ensuring timely and consistent review of disclosures, approvals, monitoring activities, and issue resolution in accordance with firm policy and regulatory expectations
• Serve as an escalation point for complex or high‑risk employee compliance matters, providing clear guidance, making risk‑based decisions, and partnering with Legal, HR, and senior Compliance leadership as needed
• Lead and implement strategic projects and initiatives, including system enhancements, policy updates, workflow automation, and process redesign efforts to strengthen controls and improve scalability
• Drive continuous process improvement and operational efficiency, identifying opportunities to streamline workflows, enhance monitoring capabilities, and leverage technology to reduce manual effort and control gaps
• Partner cross-functionally with stakeholders across Compliance, Legal, Technology, and business units to ensure alignment on policy interpretation, implementation, and risk mitigation
• Design, enhance, and oversee compliance reporting and analytics, including dashboards, trend analysis, and management reporting to provide insight into employee behavior and control effectiveness
• Identify and communicate emerging risks, trends, and observations to Global Compliance Management, including thematic issues, control gaps, and opportunities for policy or procedural enhancements
• Contribute to the evolution of the firm's Code of Ethics and related policies, ensuring alignment with regulatory developments, industry practices, and the firm's risk appetite
• Promote a strong culture of compliance and ethical behavior, providin

Benefits

Additional Information

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 . Role Summary The Sr. Manager, Code Compliance leads a high-performing team responsible for overseeing and enhancing the firm's Code of Ethics, personal trading, outside activities, and conflicts of interest framework. This role plays a critical part in protecting the integrity of T. Rowe Price's fiduciary and regulatory obligations by ensuring associates' activities are appropriately monitored, assessed, and aligned with firm policy and regulatory expectations. Code Compliance is a dynamic and evolving function, operating 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 Sr. Manager, Code Compliance, you will partner with Global Compliance management to shape the firm's approach to employee conduct oversight while driving continuous improvement in processes, controls, and systems. You will implement strategic direction and coach your team to interpret regulatory requirements and translate them into practical, scalable compliance solutions and guidance. In this role, you will partner closely with stakeholders across Compliance, Legal, Technology, HR, and the business to design and implement enhanced monitoring frameworks, workflows, reporting, and analytics that strengthen oversight and improve operational efficiency. You will lead efforts to modernize compliance through technology, data, and process innovation, enabling the firm to respond effectively to an increasingly complex and evolving conflicts landscape. Your leadership will ensure that Code Compliance not only meets regulatory expectations but also serves as a strategic advisor to the business, helping associates and leadership make informed, risk-aligned decisions.

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