<div>At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident. </div><div>We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.  </div><div>Join us for the opportunity to grow and make a difference in ways that matter to you. </div>About this PositionReporting to the Broker/Dealer Chief Compliance Officer, the role is responsible for ensuring compliance programs including written supervisory procedures appropriately address the regulatory requirements relative to the firm’s business activities. Individual serves as a subject matter expert in the broker/dealer regulatory landscape. Works closely with key stakeholders across the firm including Legal and Compliance colleagues to review, interpret and implement new regulatory requirements as well as enhance existing compliance program to ensure regulatory standards are met. The role will also support the North America Compliance Team and business units by providing regulatory advisory support. The role requires an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention to detail, the ability to work with evolving priorities and under heavy workload.Role Summary Works with a high degree of independence and is responsible for ensuring the firm’s compliance with FINRA, SEC, MSRB and State rules and laws. Advises internal clients on considerations and resolutions of compliance issues using experience, rule interpretation skills, and sound judgement from a risk perspective. Ensures compliance policies and procedures adhere to requirements by leading projects to improve or implement compliance processes/programs.Responsibilities<ul><li>Provides specialized, expert legal counsel and effective solutions for multiple business units across the firm.</li><li>Develop and implement compliance vision and strategy in conjunction with the Chief Compliance Officer.</li><li>Monitor ongoing legal and regulatory developments.  Design and lead efforts to implement new compliance initiatives as law, compliance and business circumstances evolve.</li><li>Manage responses to requests for information and examinations by regulatory organizations. </li><li>Utilizes expert knowledge of regulatory requirements and experience to assess controls and identify risk priorities in consultation with Chief Compliance Officer.</li><li>In consultation with the Chief Compliance Officer and others within the Legal and Compliance Group, recognizes current industry compliance issues and leads efforts to research, access impact on T. Rowe Price, develop remediation plan and ensure implementation of plan.</li></ul>QualificationsRequired:<ul><li>Bachelors degree or the equivalent combination of education and relevant experience AND</li><li>8+ years of total relevant work experience</li><li>FINRA Series 7 and Series 24 registrations, Series 24 may be obtained within the first 6 months of hire if not currently held</li></ul>Preferred:<ul><li>Strong knowledge of broker/dealer regulatory requirements including FINRA, SEC, MSRB and state rules and regulations</li><li>In depth knowledge and understanding of broker/dealer activities such as distribution of mutual funds, exchange traded funds, private placement agent activities, dealer/manager of business development company, and introducing broker/dealer for individual brokerage customers</li><li>Demonstrated ability to establish yourself as a trusted advisor to colleagues at all levels of seniority</li><li>Excellent effective communication, judgement, decision making and negotiation skills</li><li>Demonstrated ability to influence senior leadership and peers</li><li>Demonstrated ability to prioritize work in a fast-paced collaborative environment</li><li>Demonstrated ability to lead implementation efforts of regulatory change or initiatives across the firm within varying business units</li><li>Demonstrated ability to interpret, establish reasonable policies and procedures and implement laws and regulations</li></ul>FINRA RequirementsFINRA licenses are required and will be supported for this role.Work FlexibilityThis role is eligible for hybrid work, with up to one day per week from home.Base Salary RangesPlease review the job posting for the location of this specific opportunity.$108,000.00 - $184,000.00 for the location of: Maryland, Colorado, Washington and remote workers $119,000.00 - $203,000.00 for the location of: Washington, D.C. $135,000.00 - $230,000.00 for the location of: New York, CaliforniaPlacement 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.  This job posting is expected to be available until:01/31/2026Commitment to Diversity, Equity, and InclusionAt T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all. Benefits<div><div>We value your goals and needs, at work and in life. As an associate, you’ll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.   </div><div>  </div><div>Featured employee benefits to enrich your life:   </div><div><ul><li>Competitive compensation  </li></ul></div><div><ul><li>Annual bonus eligibility  </li></ul></div><div><ul><li>A generous retirement plan  </li></ul></div><div><ul><li>Hybrid work schedule  </li></ul></div></div><div><div><ul><li>Health and wellness benefits, including online therapy  </li></ul></div><div><ul><li>Paid time off for vacation, illness, medical appointments, and volunteering days  </li></ul></div><div><ul><li>Family care resources, including fertility and adoption benefits  </li></ul></div><div>  </div><div><a href="https://www.troweprice.com/corporate/us/en/careers/benefits.html" target="_blank">Learn more about our benefits.</a>  </div><div></div></div><h2>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, color, 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.</h2>

T. Rowe Price

Sr. Manager, Regulatory Advisory Compliance 2 Locations

T. Rowe Price

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