Strategic Director, Investment Advisory Compliance

T Rowe Price; Owings Mills (MD); Hybrid; USD 143,000 - 245,000; Full time

Benefits offered by this job

Competitive compensation

Annual bonus eligibility

Generous retirement plan

Hybrid work schedule

Health and wellness benefits

Job summary

T. Rowe Price seeks a Director, Investment Advisory Compliance to lead a Compliance & Risk Management team and provide regulatory guidance across the firm’s client-facing advisory business.

You will drive execution strategy, risk-based prioritization, and governance across multiple legal entities. The role requires extensive experience with SEC-registered advisers, broker‑dealer operations, and complex multi-entity financial services.

Qualifications

• Bachelor’s degree or the equivalent combination of education and relevant experience with 10+ years in investment adviser compliance or financial services regulatory compliance.
• Series 7, 65 and 24
• Experience supporting SEC‑registered investment advisers and advisory solutions
• Experience with managed accounts, wrap fee programs, and digital/hybrid advice models
• Understanding of how advisory, broker‑dealer, and retirement regulations intersect
• Proven ability to draft and review regulatory/client-facing materials

Responsibilities

• Serve as senior Compliance & Risk Management expert and adviser for investment advisory products and wealth capabilities.
• Lead and develop a team of Compliance professionals with coaching and performance management.
• Provide regulatory guidance across the lifecycle of advisory offerings and evaluate business models and client journeys.
• Assess cross-entity and cross-regulatory impacts among advisers, broker-dealers, custodians, and service providers.
• Apply Investment Advisers Act 1940 and related requirements including Form ADV, disclosures, and governance materials.
• Draft/review regulatory documents and examination responses with independent review and challenge.
• Advise on governance of compliance programs including risk assessments and monitoring.
• Assess emerging advisory/wealth capabilities and engage Legal as needed.
• Support regulatory due diligence and oversight of third parties and investigations if needed.
• Lead cross-functional regulatory initiatives and support examinations and remediation work.

Skills

Regulatory guidance

Leadership

Risk management

Cross-functional collaboration

Investment compliance

Education

Bachelor’s degree or equivalent

Job description

T. Rowe Price seeks a Director, Investment Advisory Compliance to lead a Compliance & Risk Management team and provide regulatory guidance across the firm’s client-facing advisory business.

You will drive execution strategy, risk-based prioritization, and governance across multiple legal entities. The role requires extensive experience with SEC-registered advisers, broker‑dealer operations, and complex multi-entity financial services.