Senior Analyst, Regulatory Advisory Compliance

There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with us.

PRIMARY PURPOSE OF THE POSITION

The primary purpose of the Senior Analyst, Regulatory Advisory Compliance 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 hybrid work, with up to two days per week from home

Base salary ranges:

$103,500.00 - $177,000.00 for the location of: California, New York
$91,000.00 - $155,500.00 for the location of: Washington, D.C
$83,000.00 - $141,000.00 for the location of: Colorado, Maryland, Washington and all other US locations

Placement within the range provided above is based on the individual’s relevant experience and skills for the role.  Base salary is only one component of our total compensation package.  Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

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 work opportunities