Analyst, Regulatory Advisory Compliance (Registration, Licensing, & Compliance)
T. Rowe Price
About this role
T. Rowe Price is seeking an Analyst to support their Legal Registration Group by managing registration, licensing, and compliance activities related to broker-dealer registered representatives and investment adviser representatives. The role involves ensuring regulatory compliance through documentation, monitoring, and collaboration with internal teams, with a focus on adherence to FINRA, SEC, and MSRB rules.
Skills
Qualifications
About T. Rowe Price
troweprice.comT. Rowe Price, a global investment management firm dedicated to helping clients achieve long term success.
Recent company news
T. Rowe PriceHas the AI arms race changed mega-cap tech?
20 hours ago
T. Rowe PriceThree big reasons why smaller stocks deserve attention
2 days ago
T. Rowe PriceExecutive Summary: Global Retirement Savers Study
4 days ago
T. Rowe PriceDivergent climate policies to drive a chaotic transition
19 hours ago
T. Rowe PriceAre U.S. small-caps finally back?
2 days ago
About T. Rowe Price
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for T. Rowe Price.
Salary
$70k – $148k
per year