The Marketplace for Regulatory and Compliance Jobs

FEATURED JOBS

Popular Searches

RESOURCES
Advanced Job Search

Sr Legal Analyst - London Job Details

<< Back

Vacancy has expired

Show me jobs like this one

Sr Legal Analyst - London (Ref: 00301)
Sector, Sub Sector: Other
Compliance Type: Regulatory/Compliance
Expertise: -
Company: T. Rowe Price
Location: London Europe, UK
Employment Type: Permanent
Job Description:

POSITION PURPOSE:

 

This position exists under the direction and supervision of Price Associates' Managing Counsel, to assist in providing Price Associates and its affiliates with legal and compliance advice primarily with respect to separate accounts and non-U.S. corporate operations, including investment adviser registrations, corporate registrations, investment matters, and non-U.S. registered mutual funds.  The incumbent will be primarily interfacing with and through Managing Counsel, Senior Legal Counsels in London and the London Compliance Team.  In addition, the incumbent will work with Lead Legal Analysts in the US and the team's Specialists with respect to coordination of the U.S. and non-U.S. activities of the Department's Global Investment Advisory Group. 

 

Principal Responsibilities:

 

Separate Account Management:

The Incumbent is responsible for assisting Legal Counsel in legal matters relating to separate account activities.  This includes the initial preparation and ongoing review of client contracts, guidelines and amendments, researching regulatory requirements and legal issues which arise on an ongoing basis in connection with portfolio management. The incumbent will support the Legal Counsels primarily with regard to Price's non-U.S. advisers' separate account activity.  Support for U.S. institutional separate account activities will also be required. 

 

TRP Offshore Funds:

The Incumbent is responsible for assisting Legal Counsel in legal matters relating to activities of the T. Rowe Price Funds SICAV, FCPs, Australian unit trusts (the "Funds"), and other offshore products as need be.  This includes the initial and ongoing preparation and review of distribution and platform agreements, as well as researching regulatory requirements and legal issues which arise on an ongoing basis in connection with such Funds.  The Incumbent will be responsible for Board meeting and resolution preparation, coordinating regulatory filings for the Funds, review of periodic reports relating to the Funds and assisting with various Fund-related matters that may arise from time to time.  The Incumbent will work closely with Legal Counsel in updating and maintaining legal procedures related to the Funds. 

 

Intercompany Documentation:

The Incumbent is responsible for the preparation of contracts documenting internal relationships amongst various T. Rowe Price corporate entities, including, but not limited to, Services, Dealing, Analyst, Delegation, and Transfer Pricing Agreements.

 

Non-Price Offshore Funds:

The incumbent is responsible for the review of investment advisory agreements with Non-Price Offshore Funds, including funds sponsored by Daiwa Sb Investments, Ltd., and reviewing and commenting on regulatory documentation associated with such Non-Price Offshore Funds.

 

Noticeable Events:

The Incumbent is responsible for assisting Legal Counsel in documenting all noticeable regulatory and corporate events in all non-U.S. jurisdictions.  The Incumbent is expected to become familiar with respect to FSA (UK), SFC (Hong Kong), FSA (Japan), CCR (Chile), Superintendencia (Peru), ASIC (Australia) and MAS (Singapore) requirements.  The Incumbent is also expected to be aware of non-U.S. regulatory developments and discuss them with Legal Counsel to determine which may have an impact on our business.

 

Company Profiles:

The Incumbent is responsible for assisting the Legal Counsel in corporate reorganization projects.  In this regard, the Incumbent is responsible for preparing and maintaining a group company profile for all relevant subsidiaries identifying all significant corporate, tax, and regulatory details for each relevant subsidiary.  The Incumbent is responsible for preparation of Director documentation (such as resumes) as required by regulatory filings and branch openings.

 

Requests for Proposal:

The Incumbent is responsible for coordinating responses with Legal Counsel and Compliance personnel in connection with the review of RFPs, Client Questionnaires, and other related matters applicable to non-US Price Advisers.

 

 

PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:

 

 

·         Demonstrable, related work experience.

·         Ability to identify potential legal issues.

·         Ability to establish project plans with timelines and accountable for results.

·         Good organizational skills

·         Excellent verbal and written communication skills

·         Excellent interpersonal skills

·         Strong technical abilities in identifying, researching and resolving problems.
Job Ref No: 00301