Senior Communications Specialist
Simply Good
Denver, CO (Remote)
$70K/yr - $80K/yrIn-houseFull-timeSenior level2+ years exp.
18 hrs ago
Sr Manager, Communications and Marketing Compliance
Colorado Springs, CO (Hybrid)
$110K/yr – $236K/yrSenior Level8+ years expFull time
Posted 3 weeks ago
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Job Summary
Own regulatory review and approval of marketing materials for complex investment products, balancing compliance with business aims across retail and institutional audiences.
- Regulatory ownership: Review and approve materials including performance disclosures and forward-looking statements.
- Cross-functional collaboration: Align with marketing, product and legal to craft compliant messaging for high risk offerings.
- Risk and training: Identify material risks and provide training to partners on evolving regulatory risk areas.
Job Description
Own regulatory review and approval of marketing materials for complex investment products across retail and institutional audiences, balancing compliance with business needs.
- Responsibilities: Conduct detailed review and provide regulatory approval for marketing materials, including advertising, sales literature, presentations, digital content, and client communications.
- Responsibilities: Evaluate communications related to complex investment products for compliance with regulatory requirements and internal policies.
- Responsibilities: Assess performance presentations to ensure appropriate disclosure, balance, and substantiation.
- Responsibilities: Identify and escalate material risks, including misleading statements, promissory or exaggerated claims, improper use of performance, or incomplete disclosures.
- Responsibilities: Apply expert judgment to balance regulatory compliance with business objectives, providing actionable guidance to enable compliant and effective marketing.
- Responsibilities: Interpret and apply SEC Marketing Rule, FINRA Rule 2210, GIPS 2020 standards and other applicable regulations across diverse product types and audiences.
- Responsibilities: Review and approve institutional-level thought leadership materials to ensure compliance with applicable regulatory standards, including appropriate use of assumptions and forward-looking statements.
- Responsibilities: Partner with marketing, product, and legal teams to develop compliant messaging strategies for complex or higher-risk offerings.
- Responsibilities: Address regulatory comments and ensure timely remediation of identified issues.
- Responsibilities: Provide guidance and training to business partners on marketing compliance expectations, particularly for complex products and emerging regulatory risk areas.
T. Rowe Price
T. Rowe Price is a premiere global asset management organization, actively investing in opportunities to help people thrive in an evolving world. Headquartered in Baltimore, Maryland, we provide a broad range of investment solutions across equity, fixed income, and multi-asset capabilities for clients around the world—from individuals to advisors to institutions to retirement plan sponsors.Our active, independent investing approach has guided how we do business for more than 85 years. Our professionals have diverse perspectives, but are united behind a commitment to rigorous research. They collaborate to identify market risks and opportunities that can give clients sharper insights and an investment edge. We maintain a long-term view, aiming to deliver consistently strong performance in up and down markets.Our clients—and their success—are our singular focus. That’s why we build deep, meaningful partnerships, matching client goals with our expertise. By understanding clients’ needs and delivering timely, actionable insights and solutions, we can help them navigate change and achieve better outcomes. Guidelines: www.troweprice.com/social T. Rowe Price and our associates do not recommend or offer investment opportunities in any financial instrument (e.g., stocks, funds, cryptocurrency, etc.) via social media or messaging platforms.Intended for US audiences only. Download a prospectus for any T. Rowe Price mutual fund or ETF, which includes investment objectives, risks, fees, expenses, and other information that you should read and consider carefully before investing: https://trowe.com/3sqwKtLPlease remember that investing involves risk, including possible loss of principal and past performance cannot guarantee future results.T. Rowe Price Investment Services, Inc., registered broker-dealer and distributor, T. Rowe Price Mutual Funds and ETFs. 3212929
