Hybrid Regulatory Compliance Lead: Advisory & Risk

T. Rowe Price; Owings Mills (MD); On-site; USD 87,000 - 148,000; Full time

Benefits offered by this job

Hybrid work schedule

Annual bonus eligibility

Competitive retirement plan

Health & wellness benefits

Paid time off

Job summary

T. Rowe Price is seeking a Senior Analyst in Owings Mills, MD to advise the Individual Investors unit on maintaining and enhancing compliance programs. The role leads projects to improve processes and provides regulatory support across North America Compliance.

The ideal candidate brings 5+ years of experience, FINRA licenses, and strong collaboration with business units in a fast-paced environment, with a hybrid work arrangement available.

Qualifications

• 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.

Responsibilities

• Advises the senior managers responsible for business unit compliance.
• Works with internal clients to identify areas of program improvement, problem resolution, and follow-ups as needed.
• Supports policy and procedure enhancements, developing and implementing new compliance processes, and providing ongoing regulatory support for North America Compliance.

Skills

Regulatory knowledge

FINRA Licenses

Regulatory advisory

Risk assessment

Stakeholder collaboration

Education

Bachelor's degree or equivalent

Tools

Excel

Power BI

SharePoint

Word

Job description

T. Rowe Price is seeking a Senior Analyst in Owings Mills, MD to advise the Individual Investors unit on maintaining and enhancing compliance programs. The role leads projects to improve processes and provides regulatory support across North America Compliance.

The ideal candidate brings 5+ years of experience, FINRA licenses, and strong collaboration with business units in a fast-paced environment, with a hybrid work arrangement available.