T. Rowe Price · 23 hours ago
Head of Enterprise Compliance
Owings Mills, MD
Full-time
Hybrid
Director/Executive
$200K/yr - $350K/yr
15+ years expT. Rowe Price is a premier global asset management organization with over 85 years of experience, dedicated to helping people thrive through investment solutions. The Head of Enterprise Compliance is responsible for designing and executing the firm's Enterprise Compliance Program, ensuring effective governance and risk mitigation while fostering a culture of compliance across the organization.
Business DevelopmentFinanceFinancial ExchangesFinancial Services
Responsibilities
Lead the identification, evaluation, and mitigation of compliance risks across the firm globally
Direct and conduct regular risk assessments, analyze emerging regulatory trends, and develop strategies to address potential vulnerabilities in investment activities, client interactions, and operational processes
Collaborate closely with global and regional compliance teams to ensure consistent standards, processes, and expectations across regions and business lines
Partner with Enterprise Risk Management to integrate the assessment and mitigation of compliance risks into the enterprise risk framework
Lead the governance framework for enterprise-level compliance policies and procedures
Ensure policies reflect current regulatory requirements, industry standards, and firm expectations
Partner with internal stakeholders to review, update, and communicate policy changes across the organization
Design and deliver comprehensive training programs to educate employees at all levels on compliance obligations, ethical conduct, and risk awareness
Ensure global training is risk-based, engaging, and tailored to various job functions and regulatory requirements
Oversee the creation of innovative and impactful educational materials, track participation and effectiveness, and promote a proactive compliance culture through e-learning modules, and ongoing communications
Monitor training effectiveness and embed compliance awareness into the firm’s culture
Oversee the administration and ongoing enhancement of the firm’s Codes of Conduct and Ethics
Ensure effective processes to manage conflicts of interest, personal trading, outside activities, and other ethical obligations
Support investigations and escalations related to potential violations, ensuring timely, appropriate resolution and reporting
Oversee an independent, risk-based monitoring and testing program designed to identify, escalate, and mitigate compliance risks
Establish and maintain standardized monitoring and testing methodologies, documentation standards, and reporting protocols
Promote and implement AI, data analytics, and automation to improve efficiency, accuracy, and scalability
Qualification
Required
Bachelor's degree or the equivalent combination of education and relevant experience
15+ years of total relevant work experience and 8+ years of management experience
Preferred
18+years relevant compliance, regulatory, or risk management experience with 8+ years leading cross-functional teams
Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
Proven track record in building and managing high-performing compliance teams in a dynamic and global environment and leading complex global initiatives
Deep understanding of the global regulatory landscape and emerging regulatory trends
Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress
Demonstrated ability to lead through change with a proactive approach, adaptability, and a track record of driving cross‑functional transformation
Excellent communication, problem‑solving and critical‑thinking skills with strong attention to detail
Strong customer‑service orientation with ability to maintain trusted relationships with senior leaders and business partners
Outstanding organizational skills with the ability to manage multiple priorities simultaneously
Experience leading or supporting enterprise‑level change management initiatives
Strong analytical mindset with expertise in risk assessment, data interpretation, and issue identification along with experience designing dashboards, metrics, and KPI reporting to enable data‑driven decision‑making
Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
High ethical standards and sound judgment, with the ability to handle confidential or sensitive information with discretion
Benefits
Competitive compensation
Annual bonus eligibility
A 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
Company
T. Rowe Price
T. Rowe Price is an investment management firm that focuses on funding technology startups.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1986-04-11IPO
Leadership Team
Ramon Richards
Chief Technology Officer
G
Geoffrey Hardin
Vice President - Senior Rates / FX Trader
Recent News
Private Capital Journal
2026-01-24
Company data provided by crunchbase