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Arlene Klein

Arlene Klein, Head of Global Compliance



Professional Overview



Arlene Klein is an accomplished compliance executive with over 15 years of experience in the financial services industry. As the Head of Global Compliance at T. Rowe Price, she is responsible for overseeing the firm's comprehensive compliance program, ensuring adherence to regulatory requirements, and fostering a culture of ethical conduct across the organization.

Experience Summary



Current Role


Arlene currently serves as the Head of Global Compliance at T. Rowe Price, a leading global investment management firm. In this role, she is responsible for developing and implementing the firm's compliance strategy, managing a team of compliance professionals, and providing strategic guidance to senior leadership on compliance-related matters. Arlene has been instrumental in strengthening T. Rowe Price's compliance framework, enhancing risk management practices, and proactively addressing regulatory changes.

Career Progression


Prior to joining T. Rowe Price, Arlene held senior compliance roles at several prominent financial institutions. As the Global Head of Investment Advisory Compliance and Head of Americas Compliance at BlackRock, she led a team of over 50 compliance professionals and played a crucial role in ensuring the firm's compliance with global regulations. She also served as the Chief Compliance Officer at GE Capital, where she was responsible for overseeing the company's compliance program and implementing robust controls to mitigate regulatory risks.

Arlene's early career experiences include roles as the Enterprise Compliance Leader at GE Capital, the Director of US Head of Regulatory Controls and Examinations Compliance at RBC Capital Markets, and the Director of Regulatory Exams and Inquiries - Americas at Barclays Capital. Throughout her career, Arlene has demonstrated a proven track record of driving compliance excellence, navigating complex regulatory landscapes, and fostering strong relationships with regulatory authorities.

Academic Background


Arlene holds a Bachelor of Arts degree in Business Administration from the University of Pennsylvania, where she graduated cum laude.

Areas of Expertise


  • Comprehensive compliance program management

  • Regulatory compliance and risk management

  • Developing and implementing compliance strategies

  • Leading and managing high-performing compliance teams

  • Fostering a culture of ethical conduct and integrity

  • Navigating complex regulatory environments

  • Collaborating with regulatory authorities and industry peers


Professional Impact


Arlene is recognized as a thought leader in the compliance field, having contributed to industry publications and participated in various compliance-focused conferences and events. She has been instrumental in shaping compliance best practices and has been actively involved in industry initiatives aimed at enhancing compliance standards and promoting ethical practices.

Conclusion


With her extensive experience, deep industry knowledge, and strategic leadership, Arlene Klein is poised to drive continued compliance excellence and cultivate a robust risk management culture at T. Rowe Price. Her unwavering commitment to ethical conduct and her ability to navigate complex regulatory landscapes make her a valuable asset to the firm and the broader financial services industry.