Investment Communications Compliance Lead Manager
Baltimore, MD
About the Position
The Lead Manager of Investment Communications Compliance will be embedded within and work closely with the Multi-Asset investment team to identify, research, analyze, advise, comment on and monitor regulatory issues related to sales and marketing materials generated primarily by the Multi-Asset Division and related distribution channels. The incumbent’s primary focus will be on the review and approval of multi-asset communications, including but not limited to Target Date/Retirement Strategies and Multi-Asset Solutions. The incumbent will, with limited supervision, advise business units on the application of regulatory rules relating primarily to various U.S. mutual fund and investment advisor regulatory requirements and also collaborate with the GCC global ex-U.S team on relevant local developments. The Lead Manager is required to review complex or novel U.S. and global ex-U.S. communications and make recommendations to the Sr Manager, Investment Communications Compliance, 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
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Acts as a communications compliance subject matter expert for the Target Date (or Multi-Asset) strategies and business units in helping to ensure compliance with legal and regulatory requirements. Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by Multi-Asset. Presents to and collaborates with business unit associates and managers on the results of investment communications 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 performs 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. In the absence of the Sr Manager, Investment Communications Compliance, assume day-to-day oversight of the Multi-Asset Solutions communications review process. May also mentor others outside of the team to enhance production and review processes.
- Leads projects as delegated by Sr. Manager, Investment Communications Compliance. Responds to regulatory inquiries from business units relating to sales and marketing activities and ensures adherence to the firm’s policies, procedures, and guidelines.
- Contributes to the creation of internal manuals, policies and procedures to ensure adherence to consistent and sound practices.
Qualifications
Required
- College degree and 5 years of direct work experience
- Series 7 and 24 registrations
- 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
Preferred
- Demonstrated experience within a large complex investment management organization
- Accredited investment designation such as CIMA, or completion of CFA Institute Investment Foundations Program
- Demonstrated experience within the Investments industry, including multi-asset, target date and retirement initiatives
Interested in applying to this career opportunity?
Please email Taylor Frank, [email protected], and include T. Rowe Investment Comms Compliance Lead Manager in the subject line.
About T. Rowe Price
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.
