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.

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).

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

$87,000.00 - $148,000.00 for the location of: Maryland, Colorado, Washington and remote workers**$95,500.00 - $163,000.00** for the location of: Washington, D.C.
$108,000.00 - $185,000.00 for the location of: New York, California

Placement within the range provided above is based on the individual’s relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

Commitment to Diversity, Equity, and Inclusion

At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. 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. Here, you can expect equal opportunity and fair and consistent treatment for all.

Benefits

We value your goals and needs, at work and in life. 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:

• Competitive compensation

• Annual bonus eligibility

• A generous retirement plan

• Hybrid work schedule

• 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.

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, color, 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.