# Investment Compliance Associate

**Company**: T. Rowe Price
**Location**: Hong Kong
**Experience**: senior
**Job type**: full-time
**Category**: Finance
**Industry**: Finance

**Apply**: https://troweprice.wd5.myworkdayjobs.com/en-US/TRowePriceInternational/job/Hong-Kong/Senior-Analyst--Investment-Compliance---APAC--15-month-contract-_84231?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_02ae24d5-df8

## Description

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.

The 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.

**Principal Responsibilities**

**Trading/Portfolio Compliance**

- Reviewing compliance exceptions in a timely manner, providing subject matter expertise and communicating critical information to a diverse range of stakeholders.

- Investigating, reporting and escalating compliance breaches internally.

- Providing consultative compliance support to the Equity, Fixed Income and Multi-Asset investment business and support functions in Asia Pacific region.

- 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**

- Programming logic-based operational rules in Charles River upon the request of relevant stakeholders.

- 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.

- Knowledge of MPF, UCITS, 1940 Act, Japan JITA.

- Prior experience with trading/compliance systems, such as Charles River.

- Solid knowledge of securities instruments, fixed income.

- 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.

## Skills

### Required
- Charles River
- investment compliance
- securities instruments
- fixed income
- derivative instruments
- English
- Chinese

### Nice to have
- MPF
- UCITS
- 1940 Act
- Japan JITA

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Source: [Apply at troweprice.wd5.myworkdayjobs.com](https://troweprice.wd5.myworkdayjobs.com/en-US/TRowePriceInternational/job/Hong-Kong/Senior-Analyst--Investment-Compliance---APAC--15-month-contract-_84231?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)