Senior Compliance Analyst - Risk, Policy & Growth (Hybrid)

troweprice; Owings Mills (MD); Hybrid; USD 87,000 - 148,000; Full time

Benefits offered by this job

Hybrid work

Job summary

T. Rowe Price is seeking a Senior Compliance Advisor to support the Individual Investors business unit by maintaining and enhancing their compliance programs and leading projects to strengthen processes.

You will prepare analyses and recommendations to support strategic growth in brokerage customers and accounts. Responsibilities include advising senior managers, developing policy enhancements, and delivering risk-based guidance to enable growth while ensuring regulatory compliance.

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 senior managers responsible for business unit compliance and identifies areas for program improvement.
• Supports policy and procedure enhancements and regulatory support for North America Compliance including inquiries and examinations.
• Provides timely, risk-based compliance guidance enabling business growth and day-to-day operations.
• Leads straightforward projects driven by business needs, coordinating resources and managing deadlines.
• Communicates regulatory issues and impacts to multiple business units in line with legal and regulatory expectations.

Skills

Regulatory compliance

Project management

Risk assessment

Stakeholder communication

Education

Bachelor's degree

Tools

Excel

Power BI

SharePoint

Job description

T. Rowe Price is seeking a Senior Compliance Advisor to support the Individual Investors business unit by maintaining and enhancing their compliance programs and leading projects to strengthen processes.

You will prepare analyses and recommendations to support strategic growth in brokerage customers and accounts. Responsibilities include advising senior managers, developing policy enhancements, and delivering risk-based guidance to enable growth while ensuring regulatory compliance.