Legal Counsel Retail Advisory Services
Core
Legal Counsel providing practical legal advice and guidance on the design, distribution, and operation of retail investment advisory solutions, retirement accounts, and broker-dealer products for T. Rowe Price's U.S. retail wealth management businesses.
Role type
Senior IC Legal Counsel (Financial Services)
Builds
Retail advisory solutions, managed accounts, financial planning, digital investment advice, and retirement products.
Domain
Financial Services / Asset Management / Regulatory Compliance
Required skills
Legal research and analysis, regulatory interpretation, contract drafting, stakeholder management, risk assessment, fiduciary standards application, complex problem solving
Preferred skills
In-house legal experience at asset managers, experience with Form ADV/CRS, ERISA fiduciary matters, retirement income solutions
Technologies
Legal research databases, regulatory filing systems
Responsibilities
Advise on retail investment advisory and broker-dealer products; Analyze issues under ERISA and Internal Revenue Code; Draft and review client agreements and program documents; Collaborate with Compliance, Risk, and Operations to evaluate legal issues; Maintain in-depth knowledge of securities laws and regulatory guidance; Provide guidance and mentoring to other Legal Department colleagues
Seniority
Senior, hands-on IC
