Sr. Analyst, Regulatory Advisory Compliance

Responsibilities

• Responsible for coordinating and drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and completing monthly and quarterly compliance reporting to clients.
• Prepare responses to Due Diligence Questionnaires and Request for Proposals as well as maintain 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.

Requirements

• Required:
• Bachelor's degree or the 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 Office 365 and associated applications. Proficient with all 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 wil

Benefits

Additional Information

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, y ou can expect opportunities to create real impact at work and in your community. Y ou'll enjoy resources to support your career path, a s well as compensation , benefits , and flexibility to enrich your life. Here, you'll find a collaborative culture that respect s and valu e s differences and colleagues who share a spirit of generosity . Join us for the opportunity to g row and make a difference in ways that matter to you . 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 that are designed to prevent, detect, and assist in resolving 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. The position provides the opportunity to develop subject matter expertise of various components of the Investment Adviser Act of 1940, as amended ("Advisers Act") and Investment Company Act of 1940, as amended ("Investment Company Act") while working on challenging and novel compliance issues, and collaborate with business partners to support the continued expansion of the firm's registered investment company (e.g., mutual funds, ETFs, etc.) business, including enhancing written compliance procedures and internal compliance controls. The ideal candidate is a proactive problem solver who can independently achieve outcomes, collaborate with fellow compliance professionals team, as well as provide guidance to business partners to assist them in implementation of effectively designed compliance processes.

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