Sr Analyst, Regulatory Advisory Compliance

T. Rowe Price • Owings Mills, MD

2d • Hybrid

About The Position

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior