Sr. Analyst, Regulatory Advisory Compliance (Control Room)

Requisition Number: 81405

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 the Control Room including private investing, conflicts of interest, and aggregate beneficial ownership. The incumbent will 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

• Assist with drafting, circulating, and maintaining Control Room memoranda and related documentation, under supervision.
• Support Control Room reporting and program execution, including drafting Board/committee materials, assisting with technology enhancements/testing, and helping maintain policies, procedures, and communications outputs.
• Conduct compliance monitoring on a variety of investment matters.
• Provide coordination and project support for the firm’s conflict of interest management program, including meeting materials, action-item tracking, and follow-ups.
• Research, identify, and track sensitive industry or issuer-specific limitations on the firm’s beneficial ownership of securities.
• Assist with the timely evaluation of confidential capital raises by companies.
• 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.
• Knowledge of FINRA, SEC and other Regulatory and Self-Regulatory Organizations rules and regulations.
• Ability to draft complex documents for the Chief Compliance Officer’s review.
• Ability to work and make decisions in a fast-paced environment.
• Strong collaboration and interpersonal skills to interface with various business unit, legal and compliance and external contacts.
• Proven time management skills, including the ability to manage several projects at once to meet deadlines.
• 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 one day per week from home.

Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).

City:

State:

Community / Marketing Title: Sr. Analyst, Regulatory Advisory Compliance (Control Room)

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.