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Expertise and Accountability
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Who We Are

Combining world-class expertise with high-quality communication, the Legal, Compliance & Audit group provides legal advice and compliance support to our internal and external business partners. It’s our responsibility to uphold the views, interest, and ethics of T. Rowe Price, moving the business forward on the right path.

What We Do

Legal, Compliance & Audit achieves its goals through a variety of priorities, actions, and skill sets. We are responsible for:

Handling a wide range of practical issues every day. We provide critical counsel on topics including litigation, contracts, insurance, licensing, investments, capital markets, and international issues. In addition, we’re also responsible for managing compliance with the firm’s code of ethics, as well as filings with government and industry regulatory agencies. 

Promoting ethics and integrity. Through our actions and the advice and guidance we provide to our business partners, we’re always representing and protecting the principles and high ethical standards of T. Rowe Price.

Sharing expertise on industry developments. We stay well-informed of legal, regulatory, and risk issues, as well as business trends that affect our firm or industry. We proactively keep our internal and external partners up to date on changes that are relevant to our business.

Who Fits Here

We look for people who take initiative, hold themselves accountable, and focus on smart, practical problem-solving.

At T. Rowe Price, we’re committed to attracting and retaining diverse talent, and we pride ourselves on the breadth of our teams and the individuality of our associates. Within that rich diversity, there are certain characteristics that many of the successful associates in the Legal, Compliance & Audit Group share:

A focus on helping people. Our expertise is law and compliance, but our true skill is helping internal and external partners drive the business. We like people, believe in collaboration, and try to say “yes” as much as we can, while understanding our responsibility for managing risk for our clients, associates, and the firm.

Dependability. We aim to be well-informed of changes and nuances in regulation and compliance so that our partners can rely on us in complex situations. We strive to do the right thing in the advice we give and the conduct we display.

Strong communication skills. We ask questions. We actively listen. We explain with clarity, candor, and purpose. We try to see the perspective of our business partners and do our best to serve them.

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