Brokerage Specialist – Analyst

T. Rowe Price

Oversight Analyst ensuring risk and compliance in T. Rowe Price's contact center operations.

Posted 5/6/2026full-timeColorado, Maryland • 🇺🇸 United StatesJuniorMid-Level💰 $77,000 - $109,000 per yearWebsite

About the role

Key responsibilities & impact

Responsible for ensuring risk and compliance standards are developed and followed in contact center
Participates in initiatives, projects, and oversight activities to enhance quality and efficiency of contact center
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
Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions

Requirements

What you’ll need

Bachelor's degree or the equivalent combination of education and relevant experience
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
2 – 3 years Financial Services experience preferred
Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

risk managementcompliance standardsanalytical oversightinternal controlsdata analysistrading activity oversightLearning and Development programslicensing processesprocedure auditsbusiness oversight

Soft Skills

communicationorganizational skillstime managementproject managementteam coordinationproblem-solvingattention to detailclient relationsadaptabilityleadership

Certifications

Bachelor's degreeSIESeries 7Series 63Series 24Series 4Series 52Series 53