T. Rowe Price

Sr Manager, Regulatory Advisory Compliance

Owings Mills, MD · Senior

Sponsorship not specified$110k-$188kDetected 29 days ago

NegotiationExcelHRPerformance ManagementLeadershipCommunicationProblem Solving

About the role

Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world.
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.

Leads highly complex projects and serves as a subject matter expert for operational compliance issues. Provides guidance to lower-level associates working on less complex issues.
Leads projects to resolve process issues and to evaluate plan documents and administrative forms for compliance issues. Collaborates with management on plan design and/or administrative enhancements to influence best practices while meeting client objectives.
Collaborates with technology partners to drive workflow modernization and automation initiatives while maintaining the effectiveness and efficiency of existing systems.
Manages a team with broad, evolving responsibilities, fostering agility in response to regulatory changes and promoting proactive execution across multiple areas.
Leads highly complex projects and serves as a subject matter expert for operational compliance issues.
The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes.

Series 7 and Series 24 required
Strong understanding of FINRA, MSRB, and SEC rules
Familiarity with FINRA CRD system
Experience in compliance, registration, licensing, or regulatory operations within the financial services industry
Excellent written and oral communication skills with exceptional attention to detail and ability to communicate professionally to leadership and Human Resources
Demonstrated ability to interpret and apply regulatory rules with precision
Advanced proficiency in Excel and Word
FINRA licenses are required and will be supported for this role.
Provides leadership with due diligence reports when new vendors are required and rationale for vendor changes.
Required:
Bachelor's degree or the equivalent combination of education and relevant experience and 8+ years of total relevant work experience
Preferred:
Strong leadership ability to effect organizational change and manage evolving priorities
Ability to manage multiple initiatives, differing deadlines, and various responsibilities in a fast-paced regulatory environment while sustaining the highest level of organization
Highest level of integrity and discretion
Risk identification and mitigation

$110,000.00 - $188,000.00 for the location of: Maryland, Colorado, Washington and remote workers
$121,000.00 - $207,000.00 for the location of: Washington, D.C.
$138,000.00 - $236,000.00 for the location of: New York, California
Base salary is only one component of our total compensation package.

As an associate, you'll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.
Featured employee benefits to enrich your life:
Annual bonus eligibility
A generous retirement plan
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits
Learn more about our benefits.

Here, you can expect equal opportunity and fair and consistent treatment for all.
equal opportunity employer and values diversity of thought, gender, and race.

in, 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

This listing is sourced directly from T. Rowe Price's careers page and normalized into a canonical job model.