Senior Analyst, Regulatory Advisory Compliance
About The Position
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, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity. Join us for the opportunity to grow and make a difference in ways that matter to you. Role Summary Advises the Individual Investors business unit in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs. Applies in-depth knowledge to support the organization’s strategic growth in brokerage customers and accounts by preparing relevant analyses and recommendations.
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience AND 5+ years of total relevant work experience
- Working knowledge of applicable regulatory requirements, compliance program expectations, policies, procedures, processes, and controls.
- FINRA Series 7 and Series 24 registrations required, OR required FINRA 24 license may be obtained within 6 months of hire if not currently held.
Nice To Haves
- Knowledge of FINRA, MSRB, and SEC rules and regulations
- Demonstrated ability to interpret and apply regulatory rules as relevant to business unit processes
- Demonstrated ability to independently identify risks and propose new controls and/or enhancements to existing controls
- Demonstrated ability to partner with and obtain buy-in from business unit leadership
- Comfortable operating in and making decisions in a fast-paced environment
- Experience supporting broker-dealer, brokerage platform, account migration, and/or strategic transformation initiatives
- Experience with Fully Disclosed Clearing Agreements
- Advanced proficiency in Microsoft Excel and Word
- Experience with Microsoft Power BI and SharePoint
Responsibilities
- Provides advice for the senior managers responsible for business unit compliance. Works with assigned internal clients to identify areas of program improvement, problem resolution, and follow-ups as needed. May provide customized work plans, documentation templates, and detailed compliance risk assessments.
- Supports policy and procedure enhancements, developing and implementing new compliance processes, and providing ongoing regulatory support for North America Compliance, including responses to regulatory inquiries, assisting with regulatory requirements (such as annual review requirements, filings, etc.) and examinations.
- Provide timely, risk-based compliance guidance and issue resolution that enables business growth and speed to market and ongoing day-to-day business operations.
- Acts as the lead on straightforward projects driven by the needs of the business units or the chief compliance officer. Projects may be firmwide or impact the majority of business units, but are limited in risk. Coordinates internal and external resources to accomplish project goals, manages the project team, and follows up on project deadlines.
- In consultation with legal team, recognizes current industry compliance issues, ability to perform research and assess impact on assigned business units. Communicates relevant information to various business units, which requires sound understanding of the business functions of all business units across T. Rowe Price.
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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
