Job Description

A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives.



We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job.



If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.

PRIMARY PURPOSE OF THE POSITION

The Lead Manager, USI Communications will identify, research, analyze, advise, comment on and monitor regulatory issues related to sales and marketing materials generated by the USI for internal or external distribution. The incumbent will, with limited supervision, advise USI on the application of regulatory rules relating primarily to various U.S. mutual fund and investment advisor regulatory requirements and collaborate with the US GCC team on relevant local developments. The Lead Manager is required to review complex or novel U.S. communications, respond to regulatory inquiries, and provide consultative services on regulatory matters relating to such communications.

The Lead Manager will lead projects, working closely with business units to create solutions which meet firm and regulatory requirements while enabling the business units to meet their goals and/or regulatory requirements, such as those arising from regulatory changes. The Lead Manager may manage others on the team.

PRINCIPAL RESPONSIBILITIES

Acts as a communications compliance subject matter expert for USI in helping to ensure compliance with legal and regulatory requirements. Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by USI. Presents business unit associates and managers with the results of reviews and provides direction on recommended actions. Identifies potential issues outside of regulatory matters and refers to the relevant subject matter expert for input. Designs controls, process improvements and other tasks to ensure the maintenance of an efficient review process. Reviews and approves communications in accordance with regulatory requirements and firm policy.

May manage or mentor others within the team, providing day-to-day oversight of their activities. Responsible for developing and executing best practices with relevant training materials. May assume day-to-day oversight of the USI communications review process. May also mentor others outside of the team to enhance production and review processes.

Leads projects as delegated by Head of USI Integrated Marketing. Responds to regulatory inquiries from business units relating to sales and marketing activities and ensures adherence to the firms policies, procedures, and guidelines.

Contributes to the creation of internal manuals, policies and procedures to ensure adherence to consistent and sound practices.

Delivers targeted training, develops an effective measurement and monitoring framework and communication plan using existing reporting tools to increase overall efficiency of the content creation and review processes

Leads projects or work streams within broader projects. Advises internal clients in maintaining and enhancing their respective compliance programs and leads projects to improve compliance processes/programs.

Acts as the lead on straightforward projects driven by the needs of the business units or the chief compliance officer. Projects may be firmwide or impact the majority of business units, but are limited in risk. Coordinates internal and external resources to accomplish project goals, manages the project team, and follows up on project deadlines

QUALIFICATIONS

Required

* Bachelor's degree or the equivalent combination of education and relevant experience and 5+ years of total relevant work experience

* Series 7 and 24 registrations

Preferred

* Experience reviewing and approving investment related marketing materials

* Demonstrated professional in area of expertise

* Detailed knowledge of US regulatory requirements related to mutual fund or investment advisor advertising

* Ability to build positive relationships with individuals at all levels

* Excellent communication and negotiation skills

* Demonstrated ability to influence managers and peers

* Methodical, with ability to work independently and as a team

* Ability to prioritize work in a client focused, fast-paced collaborative environment

* Ability to interpret laws and regulations

* Ability to represent the firm to regulatory agencies and industry bodies

Job Family: Compliance - Regulatory Advisory Compliance

Track: Knowledge Management

Level: KM3

This role is open for remote work flexibility.

Competitive salary (USD) starts at:

83000

Salary commensurate with experience and geographical location.

We devote a lot of energy to ensuring we offer our associates wellness, retirement and quality-of-life benefits which incorporate a wide variety of needs. Please view What We Offer to see what's available to you.

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, colour, 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.