Senior Analyst, Regulatory Advisory Compliance

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