Sr Analyst, Regulatory Advisory Compliance

Role Summary

The Sr Analyst will support the firm’s Legal Registration Group by executing day‑to‑day registration, licensing, and compliance activities related to broker‑dealer registered representatives, investment adviser representatives (IARs), and non‑registered associates subject to fingerprinting and background requirements.

This role is critical to maintaining regulatory compliance through proactive monitoring, accurate documentation, and timely execution of registration and licensing obligations. The Sr Analyst will work closely with peer senior analysts and management to escalate higher‑risk items while independently managing a large volume of regulatory tasks and deadlines.

Responsibilities

• Support the licensing and registration lifecycle for Broker-Dealer Registered Representatives and Investment Adviser Representatives, including initial registrations, amendments, renewals, and terminations
• Coordinate and track fingerprinting requirements for non-registered populations, ensuring compliance with applicable regulatory standards
• Maintain accurate and timely records in registration and compliance systems (e.g., FINRA CRD, internal tracking tools, etc.)
• Perform routine monitoring to ensure registration and licensing requirements remain current and compliant
• Coordinate responses to FINRA and state regulatory inquiries by gathering, reviewing, and organizing documentation from registered representatives, including court documentation and other supporting records.
• Prepare and support routine and ad hoc reporting related to registration, licensing, and compliance metrics
• Assist with regulatory inquiries, internal audits, and examinations related to registration and licensing activities
• Partner with internal stakeholders, including Compliance, Legal, HR, and individual business teams, to resolve registration and licensing issues
• Support ongoing oversight activities and contribute to process improvements and documentation updates
• In consultation with legal team, recognizes current industry compliance issues and impact on T. Rowe Price and assigned business units through independent research
• Perform additional duties and projects, as assigned, to support the Legal Registration Group

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 5+ years of total relevant work experience
• FINRA Series 7 and Series 24 registrations required, OR required FINRA 24 license may be obtained within 6 months of hire if not currently held. 

Preferred:

• Active FINRA Series 7 and 24
• Familiarity with FINRA CRD system
• Experience in compliance, registration, licensing, or regulatory operations within the financial services industry
• Knowledge of FINRA, MSRB, and SEC rules
• Demonstrated ability to interpret and apply regulatory rules with precision
• Advanced proficiency in Excel and Word
• Experience with Microsoft Power BI
• Risk identification and mitigation
• Strong analytical skills with the ability to identify trends, root causes, and process improvement opportunities
• Excellent written and oral communication skills with exceptional attention to detail with a proactive, risk-focused mindset
• Ability to manage multiple deadlines in a fast-paced regulatory environment while sustaining the highest level of organization
• High level of integrity and discretion

FINRA Requirements

FINRA licenses are required and will 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

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.