USI Lead Compliance Analyst, Communications

T. Rowe Price - Owings Mills, MD (26 days ago)3.9

Full-timeEstimated: $66,000 - $85,000 a year

EducationSkills
Our mission as a leading investment management firm is to help our clients achieve their long-term financial goals. We believe our associates are the key to this mission and we are always looking for talented individuals who share our commitment to our client’s success.

If you’re looking for challenging work experiences and the ability to learn in a collaborative culture, we invite you to explore the opportunities available at T. Rowe Price.
PRIMARY PURPOSE OF THE POSITION

The Lead Communications Compliance Analyst (Lead Analyst) will identify research, analyze, advise, comment on and monitor compliance issues related to high priority, complex and time sensitive advertising and sales materials generated by USI for internal or external distribution. These materials may discuss general business concepts, investment strategies, Price products and services, including mutual funds, separate accounts, subadvised funds, and SICAV; they will include both digital and print materials (sales literature, advertising, and presentation kits) used to promote TRP products or services in the US. In addition to addressing volumes, the roles will be responsible for creating marketing development efficiencies (i.e., standardized templates, content creation training tools, etc.) to support continuous process improvement efforts.

The Lead Analyst acts as a liaison between USI, Legal & Global Communications Compliance by providing compliance guidance customized to USI’s needs. Incumbent will independently advise USI associates on the application of regulatory and firm requirements/guidelines.

The Lead Analyst will also be called upon to lead projects and mentor USI Product and Marketing associates or others in the Lead Analyst’s area of expertise.

PRINCIPAL RESPONSIBILITIES

Reviews marketing materials for compliance with regulatory and firm requirements. Identifies potential legal impact and researches issues related to advertising and sales materials generated by multiple business units. Presents business unit managers with the results of this research including interpretations, findings, and recommended actions. Provides direction and acts as a subject matter expert for the business units in helping to ensure they comply with legal and regulatory requirements. Acts as a consultant to business units by providing compliance guidance customized to the business unit’s needs.

Partners with USI Product and Marketing associates & Global Communications Compliance (based on degree of complexity) in the development of campaigns & high priority, time sensitive marketing deliverables requiring dedicated legal review resources (i.e. Digital Activation initiative, Client Due Diligence meetings, etc.) to ensure content is legally approved in a timely and consistent manner.

Reviews, comments on, and summarizes regulatory rules and rule proposals. Drafts internal compliance manuals and procedures to ensure consistent and legally sound practices are adhered to within USI.

Responds to regulatory inquiries from the FINRA and SEC regarding compliance with their advertising rules as well as questions about the firm’s policies, procedures, and guidelines to ensure compliance with these rules. In partnership with Legal, responds to FINRA comments on our advertising and sales materials, negotiates proposed changes with FINRA, determines overall impact of FINRA comments on business unit, and communicates outcome and required changes to all business unit managers.

QUALIFICATIONS

Required

College degree and 2 years of related work experience, or Associate degree and 4 years related work experience, or High School diploma/equivalent and 6 years related work experience
College degree and 5 years of related work experience
Series 7 and 24 registrations
Ability to represent firm to outside clients
Ability to build positive relationships with individuals at all levels
Excellent interpersonal and influencing skills; ability to negotiate/persuade/influence
Analytical skills allied with creative thinking
Must be able to work under pressure and produce results without close supervision
Excellent organizational skills
Demonstrated ability to adapt to ever changing regulatory environment
Ability to prioritize multiple responsibilities and meet timelines
Ability to communicate clearly
Demonstrated ability to influence managers
Strong work ethic and dedication to the job; cares about the quality of the work done
T. Rowe Price is an Equal Opportunity Employer