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Compliance Risk Management Analyst

Company: T Rowe Price
Location: Owings Mills
Posted on: July 15, 2019

Job Description:

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 clients success. If youre 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. PRIMARY PURPOSE OF THE POSITION Provides proactive consulting and compliance support to Global Distribution, the functional groups within those segments (i.e. Marketing Enablement & Operations enterprise marketing group and select teams that are aligned in Global Brand Marketing and Central Services Business Management), internal stakeholders and strategic clients with respect to the development, production, and delivery execution of marketing collateral, development of enterprise marketing platforms and processes and other duties that supports TRPs distribution objectives. This position serves as a central point of contact for an assigned segment and/or functional team to ensure adherence to external regulations and internal policies and procedures as well as process consistency and controls. This may include (all, some or one) those governed by SEC, DOL, IRS, FINRA, and T. Rowe Price Group Strategic Compliance. PRINCIPAL RESPONSIBILITIES Advocates for Global Distribution business and customer needs and provides subject matter expertise relevant to DOL, FINRA and SEC rules. Provides proactive segment and marketing compliance support to Global Distribution by managing the annual legal review process by consulting and partnering with Global Distribution procedure owners in the creation of compliance policies and procedures guiding them on matters related to implementation and compliance for business unit policies. This includes the development, review, approval, usage, and tracking of advertising and sales materials intended for external distribution by client-facing associates as well as others who send materials externally on behalf of Global Distribution associates. Partners with Global Distribution segment associates to provide compliance consulting and needs-based solutions for marketing, sales, and business initiatives (e.g., enterprise marketing platform operating models, record retention solutions, applicability of CAN-SPAM regulations, etc.). Monitors environment and provides updates for annual Global Distribution Compliance Assessments with regard to segment and marketing-related initiatives. Makes necessary modifications to global policies and procedures related to internal controls as changes in applicable rules, regulations, standards and related trends relevant to the Global Distribution Compliance Programs are identified in order to minimize identified risks. Investigates new regulations, evaluates impact to the business, drafts new policies and educates associates. Develops and executes processes relevant to advertising, sales materials, and communications with the public in order to ensure compliance with external regulations, internal policies and procedures, and contractual agreements with clients and/or vendors. This includes: - Interpreting information to assure compliance on such topics as FINRA registrations and jurisdictions, TRP Code of Ethics and Conduct, continuing education credits and corporate gifts/business entertainment, correspondence generator lists, and email profiles. - Identifying and collecting data, quality control, and enhancement and distribution of various reports. - Conducting inspections/audits and preparing internal reporting of sales and marketing materials adherence to corporate and segment regulatory review and retention policies. - Using technical expertise with spreadsheet and database skills to continuously seek improvements in existing processes and using subject matter expertise to identify impacts of issues and changes to Global Distribution associates, business functions and clients. Serves as primary point of contact with Legal for segment and marketing compliance issues and required follow-up. Coordinates legal approval process for all Global Distribution sales and marketing materials, including legal submission and FINRA filing. Manages the review and update process for implementation of changes to materials requested by the DOL, SEC or FINRA (e.g., required updates to RDF disclosures, credit quality diversification charts, etc.). Manages Global Distributions annual content review process with Legal and Group Strategic Compliance. Manages the process for the identification and resolution of record retention requirements and errors for supported segment. Provides training, education, and guidance to Global Distribution associates on FINRA and DOL regulations governing advertising, sales material, correspondence, record retention and other regulatory and compliance topics. Collaborates with business unit managers to previews materials to determine FINRA credit eligibility, monitors and collects sign-in sheets, assigns FINRA category and insures MyLearning is updated in a timely manner. Consults with associates to review credits earned and assist in identifying opportunities for future credits. Coordinates, manages, or supports ad hoc Global Distribution and enterprise projects related to segment and/or marketing compliance. QUALIFICATIONS Required - College degree and 1 year of related work experience, or - Associate degree and 3 years related work experience, or - High School diploma/equivalent and 5 years related work experience - Excellent oral and written communication skills, including the ability to construct organized, well written documents that provide the appropriate level of detail/information to meet the target audiences needs - Ability to collect, organize, analyze, and disseminate significant amounts of information with attention to detail and accuracy - Strong interpersonal and collaboration skills with the emphasis on anticipating and listening to users needs and concerns and delivering effective client service and needs based solutions. - Ability to maintain working relationships with clients at all levels and across business units and influence procedural change when necessary - Ability to prioritize and manage multiple tasks simultaneously - Knowledge of business processes - Sound judgment and decision-making skills - Strong track record for execution and follow through when under pressure and critical deadlines - Ability to work independently as well as across functional team structures - Self-motivated and self-directed while possessing experience in successfully working with cross functional teams - Intermediate MS Office skills including Word, Excel, PowerPoint, etc. Preferred - Prior experience in marketing or marketing compliance role - Knowledge of Financial Services Industry - Knowledge of SEC and FINRA rules for advertising, sales materials, and communications with the public - Project Management skills - Advanced MS Office skills - Knowledge of Business Objects and HTML T. Rowe Price is an Equal Opportunity Employer

Keywords: T Rowe Price, Baltimore , Compliance Risk Management Analyst, Executive , Owings Mills, Maryland

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