Senior Analyst - Advertising Regulatory Compliance

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T. Rowe Price

WebsiteLinkedInAll Job Openings

Asset Management • Mutual Funds • Subadvisory Services • Retirement Plans • Separate Accounts

5001 - 10000

Description

• Support T. Rowe Price in reviewing communications related to investment products. • Review communications for compliance with SEC rules and regulations. • Work independently or with moderate supervision to meet objectives. • Identify, analyze, and monitor legal issues related to advertising and sales materials. • Provide consultative guidance to internal business partners.

Requirements

• College degree • 3+ years of direct work experience reviewing and approving mutual fund or investment adviser marketing materials • Series 7 and 24 registrations (may consider strong candidates without the Series 24 with the understanding that the Series 24 be obtained within 120 days) • Strong 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 levels • Excellent communication, negotiation, and influencing skills • Analytical and methodical, with ability to work independently and as a team • Ability to interpret and apply laws and regulations

Benefits

• 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