Sr. Analyst, Regulatory Advisory Compliance (Fraud and AML) at T. Rowe Price

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

Analyzes and responds to complex issues related to suspected criminal activity. Collaborates with business partners to investigate high-risk accounts that are deemed suspicious and require expertise and research. Conducts training to ensure best practices around activity monitoring and detection are used throughout the organization. Implements process improvements.

Responsibilities

• Researches and gathers information for escalated alerts related to suspicious activity monitoring. Reviews findings prepared by more junior staff for quality and to provide guidance or implement solutions.
• Identifies gaps in systems and processes and develops recommendations for business-wide control improvements.
• Collaborates with internal stakeholders to obtain all information needed to address concerns, close open, items and resolve issues. Responsible for handling complex issues that require more in-depth research or technical expertise.
• Monitors transactions for suspicious behavior, identifies and analyzes new patterns and trends. Monitors, suggests, and supports implementation of new rule sets, methods, or detection mechanisms to refine internal suspicious activity monitoring and ensure continued validity and effectiveness of fraud detection and prevention.
• Demonstrates a strong understanding of established rules, processes, and guidelines. Supports development and implementation of training as needed. Recommends best practices and partners to implement process improvements internally and with external business partners.

Qualifications Required:

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

Preferred:

• 2+ years of relevant compliance experience in financial crimes, AML, fraud, or suspicious activity investigations
• Strong analytical and investigative skills with the ability to identify suspicious patterns and trends
• Strong written and verbal communication skills, including investigative documentation and narrative writing
• Sound judgment and ability to make risk-based decisions in a fast-paced environment
• Demonstrated independence and accountability, with the ability to manage complex investigative work with limited guidance.
• Familiarity with retail, brokerage, or retirement products
• Ability to collaborate effectively across multiple groups/levels of management within compliance, legal, operations, and business teams
• Ability to meet multiple and strict deadlines
• Knowledge of BSA/AML, SAR, KYC/CIP, and OFAC requirements

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.