Analyst, Regulatory Advisory Compliance at T. Rowe Price

Posted in General Business 8 days ago.

Type: Full-Time
Location: Owings Mills, Maryland

Job Description:

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

GCIR Team Summary:

The Global Client & Investment Reporting team (GCIR) is responsible for the oversight, production, quality, and timeliness of all scheduled client reporting & pitchbooks for clients and strategies across multiple product and business lines. They provide client related data and reports requested by clients, consultants and other client appointed third parties in all regions in which T. Rowe Price operates.  Reporting includes proprietary branded reports (Investment Reports, Factsheets, Quarterly Reviews, Pitchbooks), regularly scheduled custom reports, due diligence and regulatory reporting (DDQ’s, MiFID II reports) and various other deliverables (reconciliations, valuation statements, commentary). The team utilizes in-depth knowledge of client requirements and a variety of IT systems to compile inputs to produce client reports in a timely and accurate fashion.

Role Summary:

The Communications Compliance Analyst will review and approve sales and marketing materials generated by Global Client & Investment Reporting within T. Rowe Price’s Global Client Account Services. The incumbent will also provide ongoing compliance consultation and guidance to the department on the application of U.S. regulatory rules. The Communications Compliance Analyst will lead projects, working closely with the department to create solutions which meet firm and regulatory requirements.

Job Summary:

  • Performs a range of intermediate-level testing, evaluation, and analysis of compliance programs for assigned internal clients to ensure that the operations of T. Rowe Price comply with relevant legislation and regulation.


  • Reviews and approves sales and marketing materials generated by Global Client & Investment Reporting.

  • Acts as a subject matter expert for the department in helping to ensure they comply with legal and regulatory requirements related to securities and investment-related advertising

  • Develops and helps implement controls, process improvements, and other tasks to help improve the efficiency of the review process.

  • Helps assess impact to the department from new firm policies and/or regulatory requirements, and communicate changes to the department

  • Conduct compliance testing to ensure that staff complies with firm policy and content meets regulatory standards.

  • Leads projects as delegated by the GCIR Communications Compliance Manager

  • May mentor others within the team

  • Lead or assist in the training of new associates and continuing education for the department.

  • Other duties as assigned.



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

  • Series 7 and 24 registrations (may consider strong candidates without the Series 7 and 24 with the understanding that the Series 24 be obtained within 120 days)

Preferred Qualifications:

  • Strong and detailed knowledge of the FINRA and SEC regulatory requirements related to sales and marketing materials.

  • Ability to build positive relationships with individuals at all levels

  • Excellent communication, negotiation, and influencing skills

  • Analytical and methodical, with ability to work independently and as a team

  • Ability to interpret and apply laws and regulations

  • Above-average time-management skills and effective ability to prioritize

  • Comfortable in an ever-changing, fast-paced environment

  • Ability to work accurately under pressure and flexibility to meet stringent deadlines and unpredictable work volumes


Work Flexibility

This role is eligible for remote work up to two days a week.

FINRA Requirements

FINRA licenses are required and will be supported for this role.

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, colour, 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.

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