Sr Analyst, Regulatory Advisory Compliance

T. Rowe Price•Owings Mills, MD

1d•Hybrid

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: The Sr Analyst will support the firm’s Legal Registration Group by executing day-to-day registration, licensing, and compliance activities related to broker-dealer registered representatives, investment adviser representatives (IARs), and non-registered associates subject to fingerprinting and background requirements. This role is critical to maintaining regulatory compliance through proactive monitoring, accurate documentation, and timely execution of registration and licensing obligations. The Sr Analyst will work closely with peer senior analysts and management to escalate higher-risk items while independently managing a large volume of regulatory tasks and deadlines.

Requirements

Bachelor's degree or the equivalent combination of education and relevant experience AND 5+ years of total relevant work experience
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

Active FINRA Series 7 and 24
Familiarity with FINRA CRD system
Experience in compliance, registration, licensing, or regulatory operations within the financial services industry
Knowledge of FINRA, MSRB, and SEC rules
Demonstrated ability to interpret and apply regulatory rules with precision
Advanced proficiency in Excel and Word
Experience with Microsoft Power BI
Risk identification and mitigation
Strong analytical skills with the ability to identify trends, root causes, and process improvement opportunities
Excellent written and oral communication skills with exceptional attention to detail with a proactive, risk-focused mindset
Ability to manage multiple deadlines in a fast-paced regulatory environment while sustaining the highest level of organization
High level of integrity and discretion

Responsibilities

Support the licensing and registration lifecycle for Broker-Dealer Registered Representatives and Investment Adviser Representatives, including initial registrations, amendments, renewals, and terminations
Coordinate and track fingerprinting requirements for non-registered populations, ensuring compliance with applicable regulatory standards
Maintain accurate and timely records in registration and compliance systems (e.g., FINRA CRD, internal tracking tools, etc.)
Perform routine monitoring to ensure registration and licensing requirements remain current and compliant
Coordinate responses to FINRA and state regulatory inquiries by gathering, reviewing, and organizing documentation from registered representatives, including court documentation and other supporting records.
Prepare and support routine and ad hoc reporting related to registration, licensing, and compliance metrics
Assist with regulatory inquiries, internal audits, and examinations related to registration and licensing activities
Partner with internal stakeholders, including Compliance, Legal, HR, and individual business teams, to resolve registration and licensing issues
Support ongoing oversight activities and contribute to process improvements and documentation updates
In consultation with legal team, recognizes current industry compliance issues and impact on T. Rowe Price and assigned business units through independent research
Perform additional duties and projects, as assigned, to support the Legal Registration Group

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
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)