Asset Management β’ Mutual Funds β’ Subadvisory Services β’ Retirement Plans β’ Separate Accounts
5001 - 10000
Yesterday
Asset Management β’ Mutual Funds β’ Subadvisory Services β’ Retirement Plans β’ Separate Accounts
5001 - 10000
β’ Support T. Rowe Price in reviewing communications related to investment products. β’ Review communications for compliance with SEC rules and regulations. β’ Work independently or with moderate supervision to meet objectives. β’ Identify, analyze, and monitor legal issues related to advertising and sales materials. β’ Provide consultative guidance to internal business partners.
β’ College degree β’ 3+ years of direct work experience reviewing and approving mutual fund or investment adviser marketing materials β’ 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) β’ Strong and detailed knowledge of the FINRA and SEC regulatory requirements related to sales and marketing materials β’ Ability to build positive relationships with individuals at all levels β’ Excellent communication, negotiation, and influencing skills β’ Analytical and methodical, with ability to work independently and as a team β’ Ability to interpret and apply laws and regulations
β’ Competitive compensation β’ Annual bonus eligibility β’ A generous retirement plan β’ Hybrid work schedule β’ Health and wellness benefits, including online therapy β’ Paid time off for vacation, illness, medical appointments, and volunteering days β’ Family care resources, including fertility and adoption benefits
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11 - 50
Seeking a U.S. Government Compliance Manager for contracting rules compliance.
Yesterday
201 - 500
Ensure Saatva's digital compliance focusing on ADA and accessibility initiatives.
Yesterday
5001 - 10000
Prepare IRS Form 5500 for compliance at Transamerica.
πΊπΈ United States β Remote
π΅ $40k - $50k / year
β° Full Time
π‘ Mid-level
π Senior
π Compliance