20 days old

Analyst, Regulatory Advisory Compliance

T. Rowe Price
Owings Mills, MD 21117
  • Job Code

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.

We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.

If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

Job Description

Role Summary

Theprimary purposeof the Regulatory Advisory Compliance Analyst is toperform inspections of the broker-dealeroffices.The Analyst will coordinate withthe Senior Managerand Business Unit Managementtodevelop and execute testing of policiesand proceduresaffiliated with thebroker-dealerto ensurecompliance with relevant rules andregulation.


Lead andassists with the inspection and analysis of activities related to the officesof the broker-dealer based on knowledge of regulatory requirements.

Tests compliance policies and procedures to identify weaknesses withinvarious business units. When current practices do not meet required standards, incumbents will work withSenior Manager andbusiness leaders to identify the areas of concern, offer recommendations, and manage the follow up to ensure theremediation planwas implementedin a timely manner.

Delivers actionable consultative compliance support to assigned internal clients. Serves as contact point for questions related to regulatory matters.

Leadsprojects of limited scope regarding compliance. Responsible for coordinatingteam membersand internal clientsto accomplish the goals of the project and to ensure timely delivery of required materials and reports.

In consultation withcomplianceand legalteams, recognizes current industry compliance issues and research and impact on assigned business units. Assists with the communication of relevant information to business unit leaders.



Bachelor's degree or the equivalent combination of education and relevant experienceand 2+ years of total relevant work experience

Series 7,Series24,Series52, andSeries53required.Obtained within 6 months of accepting role.

Travelmay berequired for this position.25% maximum.


Financial Services Industry experience

Broker-Dealer examination or audit experience

Project Management experience

Knowledge of FINRA, MSRB, and SEC rules

Excellent written and oral communication skills

T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer to see what's available to you.

As part of T. Rowe Prices Health and Safety protocols, effective October 19, 2021, any US-based new hires, including interns will be required to be fully vaccinated against COVID-19 or have a valid medical or religious exemption from receiving a COVID-19 vaccine.

T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, colour, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.

Posted: 2022-01-07 Expires: 2022-02-05
Sponsored by:
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Sponsored by:
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Analyst, Regulatory Advisory Compliance

T. Rowe Price
Owings Mills, MD 21117

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