Brokerage Specialist - Analyst

Role Summary

Responsible for ensuring risk and compliance standards are developed and followed in 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.

Responsibilities

• 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 the process of 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.

Qualifications

Required:

• Bachelor's degree or the 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 Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

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

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

$77,000 - $109,000 for the location of: Maryland, Colorado, Washington and remote workers
$77,000 - $109,000 for the location of: Washington, D.C.
$77,000 - $109,000 for the location of: New York, California

Placement within the range provided above is based on the individual’s relevant experience and skills for the role.  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. 

This job posting is expected to be available until:

06/28/2026

Commitment to Diversity, Equity, and Inclusion

At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all. 

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.