Senior Legal Counsel Cftc

T. Rowe Price Baltimore , MD 21203

Posted 2 months ago

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 client's success.

If you're 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

The position will primarily work to provide legal advice relating to the firm's registration with the CFTC.

PRINCIPAL RESPONSIBILITIES

CFTC. Responsible for providing advice and guidance with respect to: (1) the Commodity Exchange Act and CFTC regulations and (2) the firm's registration with the Commodities Futures Trading Commission (CFTC) and membership with the National Futures Association (NFA). Provide advice and guidance to the firm's business units and compliance department regarding CFTC policies and procedures. Assist in coordinating and working with Senior Legal Counsel regarding issues relating to CFTC regulations.

Institutional/High Net Worth Separate Accounts. Review and negotiate institutional and private asset management (i.e., high net worth) separate account agreements and amendments. Provide legal advice and guidance to business units regarding the separate account business. Work closely with the onboarding team, the sales team and outside clients/prospects/consultants to identify issues and negotiate resolutions.

Managed Accounts. Responsible for providing advice and guidance with respect to the firm's managed account business. Responsibilities include negotiation of legal agreements with (i) program sponsors and (ii) dual contract program clients as well as providing ongoing legal advice on any business or regulatory matters that arise relative to the managed account business.

Regulatory Filings/Policies and Procedures. Responsible for advising on the firm's regulatory filings including Form ADV and Form PF. Provide advice and guidance to the firm's business units and compliance department regarding investment advisory and managed account policies and procedures.

General Legal Matters. Responsible for assisting in coordinating and working with Senior Legal Counsel regarding issues relating to regulations impacting investment advisers including capital market regulations, ERISA, GIPS, and the Investment Company Act, as well as implementing new and amended regulatory requirements applicable to US separate accounts.

QUALIFICATIONS

Required

  • College Degree

  • Law Degree from accredited School of Law

  • Admission to the MD State Bar or other State Bar

  • Law firm and/or the financial services industry experience 8-15 years in practice area

  • Law Degree from accredited School of Law and member in good standing of a state bar

  • Senior attorney with Law firm and/or the financial services industry experience 8-15 years in practice area

  • Must have in-depth, specialized knowledge of investment advisory issues

  • Strong working knowledge of the workings of applicable regulatory agencies CFTC, SEC, FINRA, etc.

  • Excellent oral and written communication skills

  • Well-developed interpersonal and collaborative/teamwork skills

  • Strong analytical, drafting and negotiating skills

  • Attention to detail

  • Ability to interact effectively and work in partnership with a diverse group of internal and external contacts

  • Ability to balance the needs of individual business units with a broader understanding of the objectives of the firm as a whole

  • Excellent conflict management skills

  • Strong ability to lead others as well as the ability to hold others accountable for meeting commitments and achieving results.

Preferred

  • Experience with the Commodities Exchange Act and CFTC Regulations

  • Experience working with Federal Securities laws and regulations relative to institutional separate accounts and managed account activities

  • Demonstrated experience managing attorneys and legal analysts

T. Rowe Price is an Equal Opportunity Employer


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Senior Legal Counsel Cftc

T. Rowe Price