Sr. Analyst, Regulatory Advisory Compliance (Control Room)

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. 

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.  

Join us for the opportunity to grow and make a difference in ways that matter to you. 

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 p