Director, Regulatory Advisory Compliance

Location: Owings Mills

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, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.  

Join us for the opportunity to grow and make a difference in ways that matter to you. Role Summary In this role as Director, Investment Advisory Compliance, you will lead a team within T. Rowe Price’s Compliance & Risk Management organization and provide regulatory guidance and independent oversight across the firm’s client-facing investment advisory business and advice offerings. The role is responsible for execution strategy, risk-based prioritization, and senior stakeholder alignment across distribution and assurance business units.

The successful candidate will bring extensive experience supporting SEC-registered investment advisers, broker-dealer trading, and operations with complex, multi-entity financial services organizations. The role spans current and emerging advisory and wealth capabilities and requires the ability to translate regulatory requirements into practical guidance, disclosures, policies, controls, supervision, training, and governance across legal entities, client channels, and third-party relationships.

Responsibilities Serves as a senior Compliance & Risk Management subject-matter expert and trusted adviser for investment advisory products, emerging wealth capabilities, strategic initiatives, and material program changes.

Leads and develops a team of Compliance professionals by setting priorities, allocating work, providing coaching and feedback, evaluating performance, and building team capabilities.

Provides regulatory guidance throughout the lifecycle of an advice offering and evaluates business models, client journeys, associate responsibilities, fees, disclosures, technology, investment methodology, operations, supervision, and controls.

Assesses interactions among registered investment advisers, broker-dealers, retirement and workplace businesses, affiliated entities, custodians, recordkeepers, sub-advisers, and other service providers to identify cross-entity and cross-regulatory impacts.

Applies the Investment Advisers Act of 1940 and related requirements, including fiduciary duty, conflicts of interest, Form ADV, advisory agreements, wrap-fee programs, marketing, fees and billing, trading, custody, books and records, privacy, and supervision.

Partners with assurance partners to draft and/or review regulatory documents, including Form ADV filings and brochures, advisory agreements, client disclosures, policies and procedures, governance materials, and examination responses, and provides independent review and effective challenge of related business proposals and implementation decisions.

Advises on compliance-program governance, including risk assessments, policies and procedures, monitoring and testing, training, management reporting, regulatory change, and continuous improvement.

Assesses emerging…