Sr. Manager, Code Compliance

Requisition Number: 81829

Position Title:

External Description:

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.

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, providing guidance, training, and transparency to associates and leadership on expectations and best practices

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 8+ years of total relevant work experience

Preferred:

• Strong critical thinking, analytical, investigative, and risk evaluation skills, including the ability to develop practical and scalable solutions to complex ethical and compliance matters.
• Demonstrated people leadership capabilities, including coaching, talent development, performance management, delegation, and team engagement.
• Excellent verbal, written, and interpersonal communication skills with the ability to engage effectively with employees, senior leadership, regulators, and stakeholders across geographies and business functions.
• Demonstrated success leading cross-functional compliance initiatives within a complex global organization
• Proven ability to influence stakeholders, drive collaboration, and lead organizational change initiatives in a matrixed environment.
• Experience with compliance technology platforms, surveillance systems, workflow automation tools, and AI-enabled compliance solutions.
• In-depth knowledge of global regulatory frameworks governing personal conduct, conflicts of interest, fiduciary obligations, and ethics-related compliance requirements.

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.

Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).

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Community / Marketing Title: Sr. Manager, Code Compliance

Company Profile:

Location_formattedLocationLong: Maryland, US

CountryEEOText_Description: Commitment to Diversity, Equity, and Inclusion: We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day. Benefits: We invest in our people through a wide range of programs and benefits, including: • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, vision) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering. 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.