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.

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.

Qualifications

Required:

• 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.
  

Preferred:

• 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

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

Placement within the range provided above is based on the individual’s relevant experience and skills for the role.  Base salary is only one component of our total compensation package.  Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

Benefits