Brokerage Specialist - Analyst

Role Summary

Responsible for ensuring risk and compliance standards are developed and followed in the contact center. Participates in initiatives, projects, and oversight activities to enhance the quality and efficiency of the contact center. Uses comprehensive knowledge of contact center operations to recommend process changes and improvements to managers.

• Oversees and manages contact center oversight activities for vendors and clients.
• Provides analytical oversight for business product lines.
• Reviews and ensures compliance with annual procedure audits.
• Applies understanding of internal controls to help identify and mitigate risk.
• Gathers data to inform operational results and areas of key risk and business oversight.
• Communicates with clients or internal staff to process adjustments for client trading and reporting while maintaining compliance standards.
• Provides oversight for overall trading activity for department.
• Identifies, coordinates, develops, and deploys moderately complex Learning and Development programs that support more junior contact center team members in obtaining licensing.
• Provides opportunities for knowledge sharing and skill development.
• Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions.

• Required:
  
  Bachelor’s degree or equivalent combination of education and relevant experience and 2+ years of total relevant work experience.
• SIE, Series 7, Series 63, Series 24, and on an as-needed basis will support Series 4 and/or Series 52 and Series 53 licenses.
• Preferred:
  Develops communication strategies, fosters relationships, and promotes the department’s image.
• Assessing individual risks for acceptability and handling them within authority.
• 2–3 years Financial Services experience preferred.
• Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables.
• FINRA licenses are required and will be supported for this role.

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges: $77,000 - $109,000 for Maryland, Colorado, Washington, and remote workers; $77,000 - $109,000 for Washington, D.C.; $77,000 - $109,000 for New York and California. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

• Competitive compensation
• Annual bonus eligibility
• A 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

T. Rowe Price is an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without 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.