Sr Manager, Communications and Marketing Compliance

Role Summary

This position is responsible for the independent review and formal approval of marketing and client communications related to T. Rowe Price products and services, with a primary focus on complex investment strategies and structures. The role serves as a key control function, ensuring that communications comply with applicable regulatory requirements (including SEC Marketing Rule, FINRA Rule 2210, and applicable global standards), and T. Rowe Price policies. Scope includes, but is not limited to, communications relating to:

• Institutional mandates and customized portfolio solutions
• Registered products (mutual funds, ETFs, CPFs) with complex features or strategies
• Managed Accounts
• Collective/ Common Trust Funds (CITs/CTFs)
• Private equity, private credit, and other alternative investments

The position exercises independent judgment in assessing regulatory risk, interpreting applicable rules, and approving or requiring revisions to communications prior to use.

Responsibilities

• Conduct detailed review and provide regulatory approval for marketing materials, including advertising, sales literature, presentations, digital content, and client communications.
• Evaluate communications related to complex investment products (e.g., private markets, alternatives, insurance solutions) for compliance with regulatory requirements and internal policies.
• Assess performance presentations (including hypothetical, model, or composite performance) to ensure appropriate disclosure, balance, and substantiation.
• Identify and escalate material risks, including misleading statements, promissory or exaggerated claims, improper use of performance, or incomplete disclosures.
• Apply expert judgment to balance regulatory compliance with business objectives, providing actionable guidance to enable compliant and effective marketing.
• Interpret and apply SEC Marketing Rule, FINRA Rule 2210, GIPS 2020 standards and other applicable regulations across diverse product types and audiences (retail vs. institutional).
• Review and approve institutional-level thought leadership materials (e.g., market commentary, white papers, investment insights, and strategy pieces) to ensure compliance with applicable regulatory standards, including appropriate use of assumptions, forward-looking statements, and avoidance of misleading or unsubstantiated claims.
• Partner with marketing, product, and legal teams to develop compliant messaging strategies for complex or higher-risk offerings.
• Address regulatory comments (e.g., FINRA) and ensure timely and accurate remediation of identified issues.
• Provide guidance and training to business partners on marketing compliance expectations, particularly for complex products and emerging regulatory risk areas.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 8+ years of total relevant work experience
• FINRA Series 7 and Series 24

Preferred:

• At least 5 years of hands‑on experience reviewing and approving investment advertising, marketing materials, sales literature, digital content, and client communications for regulatory compliance (FINRA, SEC, and global equivalents where applicable)
• Extensive experience reviewing marketing materials for a broad range of investment products including managed accounts, CITs/CTFs, as well as complex and alternative strategies such as, private equity, private credit, and institutional solutions mandates
• Demonstrated ability to exercise independent judgment in high-risk or ambiguous regulatory scenarios, including materials involving complex product structures, performance claims, or institutional audiences
• Demonstrated experience using AI‑powered tools responsibly in a compliance‑sensitive environment, including the ability to craft effective prompts, evaluate AI‑generated content for regulatory accuracy, and identify compliance risks introduced by automation
• Ability to assess, flag, and remediate AI‑generated text, data, charts, or summaries that may inadvertently introduce prohibited terms, promissory statements, misleading performance references, unsubstantiated claims, or incomplete disclosures
• Experience with multiple jurisdictions beyond the US such as Canada, EMEA and APAC
• Strong interpersonal and influencing skills and ability to build positive relationships across all levels
• Analytical skills combined with creative problem solving
• Adaptability to a dynamic regulatory environment
• Effective prioritization and deadline management
• Attention to detail and strong work ethic
• Ability to work under pressure, appropriately prioritize tasks and projects, and produce results without close supervision

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

Placement within the range provided above is based on the individual’s relevant experience and skills for the role.  Base salary is only one component of our total compensation package.  Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance. 

This job posting is expected to be available until:

Commitment to Diversity, Equity, and Inclusion

At T. Rowe Price, our associates are our greatest asset. We thrive because our company culture is built on inclusion and because we sustain a work environment where associates can bring their best selves to work every day. The backgrounds, talents, and experiences of our global associates allow us to embrace new ideas and perspectives that move our business priorities forward and enable us to deliver strong client outcomes. Here, you can expect equal opportunity and fair and consistent treatment for all. 

Benefits