T. Rowe Price Director of Marketing and Digital Communications Compliance in Owings Mills, Maryland
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.
In this role, you will lead a team of compliance professionals responsible for ensuring firm communications comply with regulatory requirement. You will continue to build-out the Communications Compliance support model globally.While the role will have direct reports in the US, you will also be responsible for global coordination with EMEA and APAC to enhance the operating platform and framework that all regions will follow. That includes responsibility for ensuring the firm’s communications (e.g., advertising materials, prospect/sales kits, client kits and communications, websites, social media, digital events etc.) comply with FINRA and local regulatory requirements for each country/jurisdiction in which they are distributed. You will work with our Legal Counsel to establish policy, identify, research, analyze, and monitor legal issues related to advertising, sales materials, presentation kits and other client and public communications (“Communications”) generated by business units across the firm, including United States Intermediary (“USI”), Individual Investor (“II”), Retirement Plan Services (“RPS”), Global Investment Services (“GIS”), Investments, Global Marketing and Public Relations. You will independently advise these business units on the application of SEC, FINRA, GIPS and other regulatory rules applicable to marketing communications and distribution of our products. Finally, you will be responsible for globally coordinating and implementing best practices across regions.Are you interested in learning more? If so, we encourage you to apply!
Responsible for developing and implementing firm-wide policies, guidance statements, procedures, and processes for the firm’s communications and adherence to these policies.
Responsible for establishing the strategy and oversight of the communications review firm-wide, including a leadership of a team of compliance senior managers and analysts and the execution of our internal processes and controls around the review of Communications materials. Works with Legal Counsel – Global Advertising with analysis of potential legal impact and researches issues associated with Communications materials and presents business unit managers with the results of this research including interpretations, findings, and recommended actions. Provides direction to legal analysts responsible for advertising reviews and acts as a subject matter expert for the business units in helping to ensure they comply with legal and regulatory requirements.
Designs controls and implements process improvements. Drafts internal compliance manuals and procedures to ensure consistent and legally sound practices are adhered to within each business unit. Trains new employees on advertising rules and internal compliance procedures. Develops and implements continuing education programs for marketing departments.
Works with Legal Counsel – Global Advertising to respond to regulatory inquiries from 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. Assists legal analysts in responding to FINRA comments on our advertising and sales materials, negotiates proposed changes with FINRA, determines overall impact of FINRA comments on business units, and communicates outcome and required changes to all business unit managers. This position also partners with Legal Counsel – Global Advertising to develop a keen understanding of industry trends and client needs related to GIPS Standards.
Works with the business to proactively understand pipeline of projects and activities impacting the team. Partners with the business to support new business initiatives and communication strategies.
College degree with at least 10 years direct experience working on mutual fund, GIPS or other financial services advertising issues
Series 7 (General Securities Representative) and series 24 (General Securities Principal)
Demonstrated ability to supervise and manage a team of compliance professionals
Ability to learn and then use and apply complex laws and regulations to a wide variety of areas
Ability to represent firm to regulatory agencies and other FINRA member firms
Process design and improvement skills
Work experience at SEC, FINRA and/or a mutual fund company or global asset management firm.
Experience with performance reporting and separate account business
Job Family Group: Compliance
Job Family: Regulatory Advisory Compliance
T. Rowe Price is committed to providing our associates with a comprehensive total rewards benefit program, including wellness, retirement and quality-of-life benefits. Please view What We Offer (https://www.troweprice.com/corporate/en/careers/what-we-offer.html) 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.T. Rowe Price is an asset management firm focused on delivering global investment management excellence and retirement services that investors can rely on–now, and over the long term.
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