Senior Analyst, Advertising Regulatory Compliance (100% Remote Capability)

Requisition Number: 72045

Position Title:

External Description:

PRIMARY PURPOSE OF THE POSITION

The primary purpose of the Senior Analyst, is to support the T. Rowe Price organization around the review of communications (“Communications”) related to Price products and services, including retirement products, mutual funds and 529 Plans.  These Communications will include sales literature, advertising, sales and client presentations, retirement plan recordkeeper communications as well as internal use only materials for sales staff.  The position will review these Communications for compliance with applicable regulations, such as the SEC Advertising Rules and No-Action Letters, relevant FINRA Rules for Communications, and other regulatory rules. 

This position requires incumbents to work independently and/or with moderate supervision to accomplish the objectives set by Global Communications Compliance Manager.  Incumbents are expected to resolve most problems through the application of judgment and precedent.  This incumbent also identifies, researches, analyzes, advises, comments on, and monitors legal issues related to advertising and sales materials.

PRINCIPAL RESPONSIBILITIES

• Works directly with the business to review advertising material, correspondence, and other related documents to ensure compliance with regulatory requirements and T. Rowe Price policies and procedures.  

• Provides consultative guidance to internal business partners on projects.

• Resolves FINRA comments received on approved Advertising and communicates any necessary changes to marketing personnel as appropriate.

QUALIFICATIONS

Required

• College degree and 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)

Preferred

• 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

FINRA Requirements

FINRA licenses 7 and 24 are required and will be supported for this role.

Work Flexibility

This role is eligible for full time remote work.

City:

State:

Community / Marketing Title: Senior Analyst, Advertising Regulatory Compliance (100% Remote Capability)

Company Profile:

Location_formattedLocationLong: Owings Mills, Maryland US

CountryEEOText_Description: Commitment to Diversity, Equity, and Inclusion: We strive for equity, equality, and opportunity for all associates. When we embrace the power of diversity and create an environment where people can bring their authentic and best selves to work, our firm is stronger, and we create greater value for our clients. Our commitment and inclusive programming aim to lift the experience for each associate and builds allies for our global associate community. We know that a sense of belonging is key not only to your success at the firm, but also to your ability to bring your best each day. Benefits: We invest in our people through a wide range of programs and benefits, including: • Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, vision) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering. 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, color, 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.