Sr. Communications Compliance Analyst

T. Rowe Price
Owings Mills, MD
Apr 18, 2021
Apr 23, 2021
Full Time
A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.ROLE SUMMARYThe Senior Communications Compliance Analyst will review and approve sales and marketing materials generated by various business units within T. Rowe Price's US operations. The incumbent will also provide ongoing compliance consultation and guidance to business units on the application of US regulatory rules to the business units communications. The Senior Communications Compliance Analyst will lead projects, working closely with business units to create solutions which meet firm and regulatory requirements while allow enabling the business units to meet their goals and/or regulatory requirements.RESPONSIBILITIESReviews and approves sales and marketing materials generated by multiple business units.Acts as a subject matter expert for the business units in helping to ensure they comply with legal and regulatory requirements related to securities and investment-related advertisingDevelops and helps implement controls, process improvements, and other tasks to ensure the maintenance of an efficient review process.May conduct compliance testing of business units to ensure that the business unit staff is complying with firm policy and regulatory standards.Leads projects as delegated by the Sr. Communications Compliance ManagerMay manage or mentor others within the team, providing day-to-day oversight of their activities.May lead or assist in the training of new associates.Other duties as assigned.QUALIFICATIONSRequiredCollege degree and 5+ years of direct work experience reviewing and approving mutual fund or investment adviser marketing materialsSeries 7 and 24 registrations (may consider strong candidates without the Series 24 with the understanding that the Series 24 be obtained within 120 days)PreferredStrong and detailed knowledge of the FINRA and SEC regulatory requirements related to sales and marketing materials.Ability to build positive relationships with individuals at all levelsExcellent communication, negotiation, and influencing skillsAnalytical and methodical, with ability to work independently and as a teamAbility to interpret and apply laws and regulations** PLEASE NOTE: THIS POSITION CAN BE REMOTE - FULL TIME TELEWORKJob Family: Regulatory Advisory ComplianceTrack: Knowledge ManagementLevel: KM3Minimum salary (USD) starts at:83000(Colorado only*) Salary range minimum is one component of our total compensation and benefits package. *Note: Disclosure as required by sb19-085 of the minimum salary compensation for this role when being hired into our offices in Colorado.T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer to see what's available to you.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, colour, 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.

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