Sr Analyst, Regulatory Advisory Compliance at T. Rowe Price in Owings Mills, Maryland

Job Description:

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

Role Summary

This position is within the North America Compliance team reporting to the Managing Legal Counsel for Advisory Compliance. This position will provide direction and guidance to the investment staff on investment-related matters, specifically related to material, non-public information and aggregate beneficial ownership. This will include influencing and guiding senior management on compliance initiatives. 

Responsibilities

• Provide direction and subject matter expertise on investment-related matters


• Evaluate confidential capital raises by companies


• Assess the materiality of information before it can be shared with investment personnel


• Draft, collaborate and submit investment waiver requests related to limitations on the firm’s beneficial ownership of securities


• Conduct compliance monitoring on a variety of investment matters


• Draft and edit policy and procedures


• Assist with compliance matters as assigned

Qualifications

Required

• Bachelor's degree or the equivalent combination of education and relevant experience AND




• 4+ years of total relevant work experience​

Preferred

• 4+ years of compliance related experience


• Knowledge of FINRA, SEC and other Regulatory and Self Regulatory Organizations rules and regulations


• Familiarity with advisory compliance matters, including on matters related to confidential information or material, non-public information.


• Strong aptitude for technology and continuous learning


• Strong collaboration and interpersonal skills to interface with various business unit, legal and compliance and external contacts.


• Ability to draft complex documents for the Chief Compliance Officer’s review


• Demonstrates willingness to assist others within the group to accomplish common objectives


• Exceptional creative thinking and problem-solving skills


• Ability to work and make decisions in a fast-paced environment


• Proven project management skills, including the ability to manage several projects at once to meet deadlines.

Work Flexibility

This role is eligible for remote work up to two days a week.

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Commitment to Diversity, Equity, and Inclusion:

We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day.

Benefits: We invest in our people through a wide range of programs and benefits, including:

• 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)

Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.

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.