A career at T. Rowe Price says you want to contribute and make a difference at a leading global investment management firm where success results from the dedication our associates have in building success for our clients. We are a growing organization of associates from diverse backgrounds, experiences, and perspectives. We take a long-term view on associates and their careers. Our associates do phenomenal work with purpose, and as a result, we provide growth opportunities through in-person and online training, management development programs, and career development on the job. If you are seeking a meaningful work experience along with a workplace culture that thrives on teamwork, we invite you to explore the opportunity to join us.
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 APAC region. The role holder is required to review complex or novel international communications and make recommendations to the International Communications Compliance Manager (APAC), respond to regulatory inquiries, and provide consultative services on regulatory matters relating to such communications.
PRIMARY 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 APAC Communications Compliance Senior Manager in the design of controls, process improvements and other tasks to ensure the maintenance of an efficient review process.
- In the absence of the Sr Manager of Communications Compliance, assume day-to-day oversight of the international communications review process for APAC.
- Collaborates with members of the Global Communications Compliance team for review of materials distributed globally.
QUALIFICATIONS
Required
- 5 years Asset management/investment firm experience
- Demonstrated professional in area of expertise
- Detailed knowledge of APAC regulatory regimes, particularly for Australia, Hong Kong, mainland China, Singapore and/or South Korea
- 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
- Ability to interpret laws and regulations
- Ability to represent the firm to regulatory agencies and industry bodies
- Excellent ability to speak, read and write in both Traditional and Simplified Chinese
Preferred
- Ability to speak Mandarin Chinese
- Knowledge of regulations/regulatory regimes in other APAC countries
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. |
