Sr. Manager, Legal & Regulatory Services
About The Position
At T. Rowe Price, we identify and actively invest in opportunities to help people thrive in an evolving world. As a premier global asset management organization with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. We take an active, independent approach to investing, offering our dynamic perspective and meaningful partnership so our clients can feel more confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community. You’ll enjoy resources to support your career path, as well as compensation, benefits, and flexibility to enrich your life. Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity. Join us for the opportunity to grow and make a difference in ways that matter to you. Role Summary The Senior Manager leads and supports a team responsible for the preparation, review, coordination, and filing of regulatory disclosure documents across a range of investment products. This role combines people management and resource allocation, strategic project management and process oversight, regulatory expertise, and cross-functional collaboration to ensure timely, accurate, and compliant disclosures supporting the firm's business objectives.
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 8+ years of total relevant work experience
- 2+ years of management experience
Nice To Haves
- Understanding of rules and regulations related to the Investment Company Act of 1940
- Strong people leader skills and project management capabilities
- Aptitude for technology particularly related to processes and workflow
- Strong disclosure analyzation skills
- Excellent interpersonal skills, to include strong influence skills, in interacting with a diverse group of contacts
- Ability to develop and maintain good working relationships with members of various business units, regulatory agencies and other external contacts
- Demonstrates willingness to assist others within the team to accomplish common objectives
- Strong creative thinking and problem-solving skills
- Experience working in a fast-paced, production environment and SEC filing experience are helpful
Responsibilities
- Lead, coach, and develop a team of disclosure professionals responsible for the production and maintenance of legal disclosure documents.
- Promote operational effectiveness and ensure equitable distribution of assignments and workload across team members.
- Conduct regular meetings and performance discussions to support employee development, maximizing their individual contributions, professional growth, and ability to build and sustain a team culture of efficiency and quality.
- Serve as escalation point for complex issues and ensure team execution aligns with the firm's business strategy and organizational priorities.
- Oversee the use of content management tools for analysis, drafting, review, and maintenance of legal disclosure documents, including prospectuses and additional documents, for mutual funds, exchange-traded funds (ETFs) and other registered investment products.
- Ensure consistency of disclosure across product types where applicable.
- Conduct disclosure research and maintain historical disclosure support documentation as needed.
- Update and maintain disclosure-related procedures and resources to support team effectiveness and compliance.
- Serve as the subject matter expert for SEC filings under the Securities Act of 1933 and the Investment Company Act of 1940.
- Oversee prospectus cycle filings and related regulatory submissions.
- Ensure filing accuracy, timeliness, and regulatory compliance.
- Collaborate closely with internal and external attorneys to meet deliverables and resolve any disclosure-related issues and legal questions.
- Coordinate and maintain strong business relationships with other stakeholders to ensure alignment with timing and regulatory requirements.
- Coordinate new product launches and strategic initiatives, including defining project scope, timelines, milestones, and deliverables in collaboration with internal business units.
- Serve as ultimate owner of the Disclosure Team's processes and workflows.
- Identify opportunities to improve efficiency, quality, controls, and scalability across disclosure operations.
- Continually evaluate the most efficient ways for the team to handle current responsibilities and new projects as they arise and guide process enhancements, including integration of new technology, automation and workflow solutions.
Benefits
- Competitive compensation
- Annual bonus eligibility
- A generous retirement plan
- Hybrid work schedule
- Health and wellness benefits, including online therapy
- Paid time off for vacation, illness, medical appointments, and volunteering days
- Family care resources, including fertility and adoption benefits
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What This Job Offers
Job Type
Full-time
Career Level
Manager
