T. Rowe Price

1 month ago

Sr. Analyst, Regulatory Advisory Compliance

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 21 hours agoStatus: Live

Job Summary

Partner with internal stakeholders to implement compliance initiatives for T. Rowe Price’s proprietary and subadvised 40 Act products. Support client compliance reporting and risk/compliance programs designed to prevent, detect, and resolve potential violations of federal securities laws. Develop subject-matter expertise in the Advisers Act and Investment Company Act while coordinating due diligence responses, SEC Form ADV filings, and subadvised policy gap analysis across multiple departments.

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Coordinate and draft quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7, plus monthly and quarterly client compliance reporting.
•Prepare responses to due diligence questionnaires and RFPs and maintain the accuracy of client-facing documents and disclosures.
•Prepare, review, and file initial, annual, and amending Form ADV filings on the SEC’s IARD system to align with the Advisers Act and Form ADV instructions.
•Analyze and research subadvised policy and procedure documents, resolve inconsistencies with clients and business units, and monitor changes for novel issues.
•Lead key projects by coordinating internal/external resources, managing project teams, and communicating industry compliance issues with relevant business units.

Pay and Benefits

Salary: USD 87,000 - 185,000 annually

Perks:Annual BonusRetirementHealth InsurancePaid LeaveHybrid WorkOnline TherapyFertility Benefits

Key Requirements

•Bachelor’s degree or the equivalent combination of education and relevant experience.
•5+ years of total relevant work experience.
•Knowledge of Investment Company and Adviser Acts, plus mutual fund and ETF compliance regulations, programs, and best practices.
•Ability to analyze and interpret complex data sets.
•Excellent written and verbal communication skills.

Experience:5+ years

Education:Bachelor's

Skills:CommunicationCritical-thinkingProblem-solvingAnalytical skillsOrganizational skills

Tech Stack:Office 365Microsoft OutlookMicrosoft ExcelMicrosoft WordSEC IARD System

Eligibility

Work Authorization:Authorization required. Sponsorship not provided.

Company Brief

T. Rowe Price

Global investment management firm offering mutual funds, retirement services, and advisory solutions for individual and institutional investors. Manages assets across equities, fixed income, multi-asset, and alternative strategies.

Industry: Asset Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Baltimore, United States

Founded: 1937

Website LinkedIn

Loading job details...

Preparing the role view and application actions.

T. Rowe Price

1 month ago

Sr. Analyst, Regulatory Advisory Compliance

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 21 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Coordinate and draft quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7, plus monthly and quarterly client compliance reporting.
•Prepare responses to due diligence questionnaires and RFPs and maintain the accuracy of client-facing documents and disclosures.
•Prepare, review, and file initial, annual, and amending Form ADV filings on the SEC’s IARD system to align with the Advisers Act and Form ADV instructions.
•Analyze and research subadvised policy and procedure documents, resolve inconsistencies with clients and business units, and monitor changes for novel issues.
•Lead key projects by coordinating internal/external resources, managing project teams, and communicating industry compliance issues with relevant business units.

Pay and Benefits

Salary: USD 87,000 - 185,000 annually

Perks:Annual BonusRetirementHealth InsurancePaid LeaveHybrid WorkOnline TherapyFertility Benefits

Key Requirements

•Bachelor’s degree or the equivalent combination of education and relevant experience.
•5+ years of total relevant work experience.
•Knowledge of Investment Company and Adviser Acts, plus mutual fund and ETF compliance regulations, programs, and best practices.
•Ability to analyze and interpret complex data sets.
•Excellent written and verbal communication skills.

Experience:5+ years

Education:Bachelor's

Skills:CommunicationCritical-thinkingProblem-solvingAnalytical skillsOrganizational skills

Tech Stack:Office 365Microsoft OutlookMicrosoft ExcelMicrosoft WordSEC IARD System

Eligibility

Work Authorization:Authorization required. Sponsorship not provided.

Company Brief

T. Rowe Price

Industry: Asset Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Baltimore, United States

Founded: 1937

Website LinkedIn