Stephanie Mumford

CCO and Head of North America Retail Compliance, T. Rowe Price

Stephanie Mumford is the Chief Compliance Officer of T. Rowe Price Investment Services and T. Rowe Price Advisory Services. In addition, she is the Head of North America Retail Compliance which includes overseeing compliance activities for a transfer agent, broker/dealer, investment adviser and retirement recordkeeper. Stephanie provides guidance regarding distribution of proprietary securities, brokerage, electronic investment tools including robo advice and advisory planning. Previously, she served as special and senior counsel at the SEC in the Division of Trading and Markets and Division of Examinations. Before the SEC, Stephanie was counsel in FINRA’s Market Regulation Department. Prior to FINRA, she held compliance positions at LPL Financial and Vanguard. Stephanie has her BA from Washington and Jefferson College, MBA from Clemson University, and JD from University of San Diego School of Law. She is a Series 4, 7, 14, 24, and 53 and member of the New York State Bar.