Sr. Analyst, Regulatory Advisory Compliance

About the Role

This role demands exceptional analytical and problem-solving abilities, alongside the capacity to manage multiple deadlines efficiently. The individual will oversee the registration of associates for our National Futures Association (NFA) registrants and handle extensive regulatory filings and RFP/Due Diligence requests for TRP (Canada), Inc. The role requires adept multitasking and the flexibility to pivot quickly, providing support across various projects as needed.

Role Summary

Advises internal clients in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs. Applies in-depth knowledge to prepare relevant analyses and recommendations.

Responsibilities

• Ongoing ownership of the NFA individual registration process from start to finish, in collaboration with multiple departments across the firm. 
• Utilizes expertise and strong analytical skills to complete a high volume of regulatory filings and RFP/Due Diligence requests. 
• Collaborates on 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.
• Coordinates internal and external resources to accomplish project goals, manages the project team, and follows up on project deadlines.
• Conducts testing of policies and procedures for an assigned business unit.
• In consultation with legal team, recognizes current industry compliance issues and research and impact on T. Rowe Price and assigned business units.
• Communicates relevant information to various business units, which requires sound understanding of the business functions of all business units across T. Rowe Price.

Qualifications

Required:

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

Preferred:

• Familiarity with regulatory filings/RFPs
• Prior NFA experience, specifically relating to registrations
• Strong technical and analytical 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).