Senior Analyst, Marketing Compliance (Regulatory Advisory Compliance) - 12 months Fixed Term Contract

This job is with T Rowe Price, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

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.

PRIMARY PURPOSE OF THE POSITION

The role holder will identify, research, analyse, advise, comment on and monitor regulatory issues related to sales and marketing materials generated by various business units within T. Rowe Price's international operation. The role holder will independently advise business units on the application of regulatory rules relating primarily to the EMEA region, as well as the APAC region and also on occasion, LatAm. The role holder is required to review complex or novel international communications and make recommendations to the Senior Manager, Regulatory Advisory Compliance, or directly to the Head of Global Communications Compliance for EMEA, respond to regulatory inquiries, and provide consultative services on regulatory matters relating to such communications.

PRINCIPAL RESPONSIBILITIES

• Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by multiple business units. Presents business unit associates with the results of reviews and recommended actions.
• Provides direction and acts as a subject matter expert for the business units in helping to ensure their compliance with regulatory requirements. Identifies potential issues outside regulatory matters and refers to the relevant subject matter expert for input.
• Responds to regulatory inquiries from business units relating to sales and marketing activities and ensures the firm's policies, procedures, and guidelines are communicated and adhered to.
• Contributes to the creation of internal manuals, policies and procedures to ensure consistent and sound practices are adhered to within each business unit.
• Assists the Senior Manager, Regulatory Advisory Compliance, or Head of Global Communications Compliance for EMEA, in the design of controls, process improvements and other tasks to ensure the maintenance of an efficient review process.
• In the absence of the Head of Global Communications Compliance for EMEA and the Senior Manager, Regulatory Advisory Compliance, assume day-to-day oversight of the international communications review process for EMEA.

QUALIFICATIONS

Required

• 5 years Asset management/investment firm experience
• Demonstrated professional in area of expertise
• Detailed knowledge of UK, Swiss and European regulations/regulatory regimes (e.g., MiFID, UCITS, AIFMD, ESMA guidelines on fund marketing)
• Detailed knowledge of UCITS products and associated marketing requirements, with Luxembourg domiciled UCITS being preferable.
• Ability to build positive relationships with individuals at all levels
• Excellent communication skills
• Ability to influence individuals to take action
• Methodical, with ability to work independently and as a team, especially to deal with a significant number of reviews while keeping consistency of comments with team standard/ other reviewers
• Ability to interpret laws and regulations
• Ability to represent the firm to regulatory agencies and industry bodies

Preferred

• Knowledge of other regulations/regulatory regimes (APAC or LatAm)
• German, Italian or Spanish skills proficiency could be an advantage

FAQ:

• Will this role communicate with external clients? No
• Will the communication with clients be in order to obtain or retain business (i.e., will the position participate in prospect/sales or due diligence meetings?) No
• Will this position supervise positions that are deemed covered? No

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.

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.

Location: London, GB

Posted Date: 11/5/2024