Posted in General Business 30+ days ago.
Location: Baltimore, Maryland
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.
The Authorized Reviewer will research, analyze, advise, comment on, and monitor compliance issues related to institutional investment, product, and retirement content. These materials may discuss general business concepts,
investment strategies, and Price products and services; including mutual funds, separate accounts, and subadvised funds.
The Authorized Reviewer acts as liaison between the Investment Product & Retirement Content (IPRC) Team and Legal & Compliance by providing compliance guidance customized to the IPRC’s needs. Incumbent will independently advise associates on the application of regulatory and firm requirements/guidelines. The role will also work closely with the Global Communications Compliance team, regularly attending meetings & trainings and partnering on compliance reviews.
The Authorized Reviewer will be called upon to lead projects, create & maintain resources, and provide compliance support & guidance for IPRC.
Reviews IPRC materials (Standard RFPs, custom RFP content, thought leadership papers, market event commentary) for compliance with US regulatory and firm requirements (including FINRA).
Identifies potential legal impact and researches issues related to IPRC content for multiple business units. Presents IPRC leadership with the results of this research including interpretations, findings, and recommended actions.
Provides direction and acts as a subject matter expert for IPRC in helping to ensure they comply with legal and regulatory requirements. Acts as consultant by providing compliance guidance customized to the business unit’s needs.
Develops and implements continuing education programs for the department. Mentors team members on specific regulatory
requirements impacting communications for their specific area of expertise.
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
Responds to regulatory inquiries from internal audit, Legal, and Compliance regarding compliance with rules as well as questions about the department’s policies, procedures, and guidelines to
ensure compliance with these rules. Communicates outcome and required changes to IPRC.
FINRA licenses are required and will be supported for this role.
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:
Our policies may change as our working lives evolve. Yet, our commitment to supporting our associates’ well-being and addressing the needs of our clients, business, and communities is unwavering.
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