Sr. Analyst, Regulatory Advisory Compliance

T. Rowe Price UK

Maryland, US
Base: $87,000.00 - $185,000.00; bonus/equity: annu...
Hybrid
Nfa individual registration process
High volume regulatory filings
Rfp/due diligence requests
The individual will oversee the registration of associates for our National Futures Association (NFA) registrants and handle extensive regulatory filings and RFP/Due Diligence requests for TRP (Canada), Inc

Job Summary

  • The individual will oversee the registration of associates for our National Futures Association (NFA) registrants and handle extensive regulatory filings and RFP/Due Diligence requests for TRP (Canada), Inc.
  • Advises internal clients in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs.
  • This role is eligible for hybrid work, with up to one day per week from home.

Matching Summary

The individual will oversee the registration of associates for our National Futures Association (NFA) registrants and handle extensive regulatory filings and RFP/Due Diligence requests for TRP (Canada), Inc.

Salary

Base: $87,000.00 - $185,000.00; Bonus/Equity: Annual bonus eligibility; Benefits: Health and wellness benefits, Paid time off, Retirement plan

Skills & Requirements

Must-have

  • NFA individual registration process
  • high volume regulatory filings
  • RFP/Due Diligence requests
  • compliance programs enhancement
  • policy and procedure testing

Nice-to-have

  • analytical and problem-solving abilities
  • multitasking and flexibility
  • collaborative culture
  • generosity and respect

Key Requirements

  • 5+ years of total relevant work experience
  • Bachelor's degree or equivalent
  • Familiarity with regulatory filings/RFPs
  • Prior NFA experience
  • Work authorization not requiring sponsorship

Work Rights

Work authorization not requiring sponsorship

Tailored Resume

Cover Letter