Sr. Analyst, Regulatory Advisory Compliance

Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price’s proprietary and subadvised 40 Act products focused on delivering measurable business results and coordinating compliance activities across multiple departments. The position will contribute to the success of client compliance reporting and multiple risk and compliance programs designed to prevent, detect, and resolve potential violations of federal securities laws and regulations for T. Rowe Price and its affiliated advisers, the TRP Fund complex, and various Fund Service Providers. Responsibilities Coordinate and draft quarterly and annual chief compliance officer reporting under Rule 38a‑1 and Rule 206(4)-7 and complete monthly and quarterly compliance reporting to clients. Prepare responses to Due Diligence Questionnaires and Request for Proposals, maintaining the accuracy of client‑facing documents and disclosures. Prepare, review, and file initial, annual, and amending Form ADV filings on the SEC's IARD System to ensure disclosures align with the Investment Advisers Act of 1940 and SEC Form ADV Instructions. Analyze and research subadvised policy and procedure documents to determine differences between subadvised and TRP policies, working directly with clients and appropriate business units to resolve inconsistencies. Continuously monitor subadvised policies for changes and present novel issues to Managing Legal Counsel for resolution. Understand business implications of changes in policies and procedures and advise businesses accordingly. Lead projects driven by the needs of business units or Managing Legal Counsel; coordinate internal and external resources, manage project teams, and ensure positive outcomes. Recognize current industry compliance issues and research their impact on T. Rowe Price and affected business units; communicate relevant information to various business units. Qualifications Required: Bachelor’s degree or equivalent combination of education and relevant experience; 5+ years of total relevant work experience. Preferred: Knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund and ETF Compliance regulations, programs and best practices. Ability to analyze and interpret complex data sets. Excellent written and verbal communication skills. Superb critical‑thinking and problem‑solving skills. Advanced analytical, interpretive, and organizational skills. Familiarity with Office365 and associated applications; proficiency with Microsoft Suite applications (Outlook, Excel, Word, etc.). Adaptability, flexibility, and a “can‑do” attitude; comfortable engaging various technologies. 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. Compensation Base salary ranges vary by location (details provided in the original posting). Employees may be eligible for discretionary bonuses and other components of the total compensation package. Diversity, Equity, and Inclusion T. Rowe Price is an equal‑opportunity employer and values diversity of thought, gender, and race. We provide equal opportunity and fair and consistent treatment for all. Our EEO statement includes the following: no 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. Benefits Competitive compensation Annual bonus eligibility 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 #J-18808-Ljbffr