There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

Role Summary

The Senior Manager provides direction and guidance for T. Rowe Price Investment Services, Inc. (“TRPIS”)  in maintaining and enhancing it’s respective compliance program as it relates to Brokerage. The Manager will also lead and support projects to improve compliance processes/programs.  This will include influencing and guiding senior management on compliance initiatives.  This position is instrumental in maintaining the sufficiency of the overall compliance program in preventing violations of regulatory rules, contractual agreements and TRP policies and procedures.

PRINCIPAL RESPONSIBILITIES

• Provides direction and acts as a subject matter expert (“SME”) for the Director, North America Compliance, Broker Dealer in monitoring and enhancing compliance program including review of policies and procedures of Brokerage division. 

• Works with Brokerage to identify areas of compliance program improvement, problem resolution, and follow-ups, as needed. Assists Brokerage with keeping their compliance program current.

• Supports Brokerage through identifying compliance requirements and aligning Brokerage’s goals to compliant outcomes allowing the business to progress in its strategic goals.

• Represents North America Compliance in a wide range of Brokerage related projects to ensure a compliant outcome.

• Acts as the SME for Brokerage client escalated issues and as the primary compliance liaison to Pershing.

• Annually reviews policies and procedures for multiple areas of the broker dealer through the FINRA Rule 3130 review. Identifies and recommends enhancements of the policies and procedures.

• Investigates and responds to regulatory inquiries, including client complaints and regulatory document requests.  Assists during regulatory examinations.

• Primary point of contact and responsibility for all marketing reviews related to Brokerage.

• Responsible for oversight of various compliance requirements related to Brokerage.

• Provides support to the Director, North America Compliance, Broker Dealer and Chief Compliance Officer of TRPIS, as needed. 

• Attends (if budget permits) industry conferences to broaden insights and awareness of industry practices and regulatory and compliance requirements. 

QUALIFICATIONS

Required

• College degree and 4 years related work experience, or

• Associate degree and 6 years related work experience, or

• High school diploma/equivalent and 8 years related work experience. 

• Knowledge of FINRA, SEC and other Regulatory and Self Regulatory Organizations rules and regulations

• Excellent interpersonal skills, to include strong influence skills, in interacting with a diverse group of internal and/or external contacts

• Excellent project management capabilities: establish project plans, deliver assignments on time and accountable for results

• Strong aptitude for technology

• Ability to develop and maintain good working relationships with members of various business units, regulatory agencies and other external contacts

• Ability to draft complex documents for the Chief Compliance Officer’s review

• Demonstrates willingness to assist others within the group to accomplish common objectives

• Exceptional creative thinking and problem solving skills

• Knowledge of MS Word, Excel, PowerPoint and Access

• Series 7 -General Securities Representative (or ability to sit for and pass this exam)

• Series 24 – General Securities Principal (or ability to sit for and pass this exam)

• Series 52 – Municipal Securities Representative (or ability to sit for and pass this exam) – if not covered by current Series 7

• Series 53 – Municipal Securities Principal (or ability to sit for and pass this exam)

• Specific experience in the investment adviser, broker-dealer, trust company and/or transfer agent industry

• Experience with a global financial institution with investment, trading and operational activities across multiple global locations

Preferred

• Bachelor’s degree with 5 years experience in compliance, legal, or related field

• Knowledge of the financial services or investment management industry

• Accounting, project management or consulting experience

Work Flexibility

This role is eligible for hybrid work, with up to two days per week from home.

Commitment to Diversity, Equity, and Inclusion:

We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day.

Benefits: We invest in our people through a wide range of programs and benefits, including:

• Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions
• Flexible and remote work opportunities
• Health care benefits (medical, dental, vision)
• Tuition assistance
• Wellness programs (fitness reimbursement, Employee Assistance Program)

Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.

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.