Sr Analyst, Regulatory Advisory Compliance - Investments and Trading

Requisition Number: 74925

Position Title:

External Description:

Role Summary

This position is within the North America Compliance team reporting to the Senior Manager, Regulatory Advisory Compliance - Control Room. This position will work as part of a small team and will be responsible for managing and enhancing existing compliance programs related to material, non-public information, private investing, and aggregate beneficial ownership. From time to time the incumbent may support compliance professionals within North America Compliance on matters impacting Global Investments and Global Trading. The successful candidate will have strong time management and organizational skills and the ability to research and assess complex regulatory requirements.

Responsibilities

• Acts as primary escalation point for the timely evaluation of confidential capital raises by companies.
• Draft, collaborate and submit investment waiver requests related to limitations on the firm’s beneficial ownership of securities.
• Conduct compliance monitoring on a variety of investment matters.
• Draft and edit policy and procedures.
• Assist with compliance matters as assigned.
• Provide advanced advice for the senior managers responsible for business unit compliance. Work with assigned internal clients to identify areas of program improvement, problem resolution, and follow-ups as needed.
• May act 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.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 5+ years of total relevant work experience

Preferred:

• 3+ years of compliance related experience.
• 2+ years of legal or regulatory experience.
• Ability to work and make decisions in a fast-paced environment.
• Proven project management skills, including the ability to manage several projects at once to meet deadlines.
• Knowledge of FINRA, SEC and other Regulatory and Self Regulatory Organizations rules and regulations.
• Familiarity with advisory compliance matters, including on matters related to confidential information or material, non-public information.
• Strong aptitude for technology and continuous learning.
• Strong collaboration and interpersonal skills to interface with various business unit, legal and compliance and external contacts.
• Ability to draft complex documents for the Chief Compliance Officer’s review.
• Demonstrates willingness to assist others within the group to accomplish common objectives
• Exceptional creative thinking and problem-solving skills

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

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

City:

State:

Community / Marketing Title: Sr Analyst, Regulatory Advisory Compliance - Investments and Trading

Company Profile:

Location_formattedLocationLong: Maryland, US

CountryEEOText_Description: Commitment to Diversity, Equity, and Inclusion: We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day. Benefits: We invest in our people through a wide range of programs and benefits, including: • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, vision) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering. 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.