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Compliance Lead Specialist

MFS Investment Management Boston, United States
Posted 23 days ago Hybrid Job Permanent Competitive
At MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. Because what we do matters - to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.

THE ROLE

The Compliance Lead Specialist is responsible for performing the compliance review and approval of all marketing related materials (both US and non-US funds, comingled products, separate accounts and SMAs), ensuring materials comply with current applicable SEC, FINRA, GIPS and other pertinent regulatory requirements. Evaluate and interpret any and all applicable regulatory developments to determine whether revisions to existing materials are required; recommends specific changes and/or actions, interact and negotiate with senior managers across all areas of MFD, MFSI, ISG, and MIL, as well as the MFS Legal Department.

WHAT YOU WILL DO

Monitoring
  • Perform the compliance review and approval of all marketing related materials.
  • Manage assigned business partner relationships by attending status meetings, responding to questions, communicating compliance requirements, and delivering on stated review turnarounds and standards.
  • Recommend and draft new guidelines and procedures.
  • Monitor MFS hosted internet and intranet sites to ensure materials are appropriately approved and are not expired and resolve issues.
  • Assist in preparing response to auditors' or regulators requests during the course of the audit or regulatory examination.
  • Keep abreast of and communicate changes in regulatory rules, guidelines and interpretations affecting sales and marketing materials.
  • Manage specialized projects on behalf of the Sales Literature Area of Distribution Compliance.
Train
  • Provide compliance-related training to sales and marketing personnel related to areas of responsibility.
  • Educate and inform assigned business partners as necessary as to required revisions, new MFS policies, new regulations, etc. which impact the business' marketing material or marketing plans.
Other
  • Support the Distribution Compliance Change Management process to add/edit disclosures in AEM, distribute prospectus updates and maintain the resource information in OneSource.
  • Assume additional responsibilities as requested, including but not limited to assisting with additional components of Distribution Compliance's program.
WHAT WE ARE LOOKING FOR
  • Bachelor's Degree or equivalent experience, with 5-6+ years of work experience.
  • Prior experience working in the financial services industry and/or global expertise in sales and marketing review strongly preferred.
  • Excellent organization, presentation, problem-solving and communication (verbal and written) skills.
  • Strong partnership skills and the ability to collaborate with Business Units across MFS.
  • Proven analytical skills with the ability to make independent decisions, develop creative solutions to problems and propose implementation of same.
  • Able to effectively drive solutions throughout the organization and present ideas in a clear and concise way. Escalate issues and advocate for solutions.
  • Understanding of the business operations and practices, procedures, and controls specific to the business units supported is required. Must be aware of best practices as well as evolving issues within scope of the position.
  • Strong presentation skills. Must be able to present comfortably before small to mid-size groups.
  • Overtime may be required occasionally.
  • Position requires FINRA series 7 and 24 licenses (or ability to obtain within 120 days of hire) in accordance with MFS's licensing policy.


          At MFS, we are dedicated to building a diverse, inclusive and authentic workplace. If you are excited about this role but your past experience doesn't align perfectly, we encourage you to apply - you might be just the right candidate for this role or others.

          What we offer:
          • Generous time-off provided: including "Responsible time off" for many roles, paid company holidays when the US Stock Exchange is closed, plus paid volunteer time
          • Family Focus: Up to 20 weeks of paid leave for new parents, back-up care program, dependent care flexible spending account, adoption assistance, generous caregiver leave
          • Health and Welfare: Competitive medical, vision and dental plans, plus tax-free health savings accounts with company contributions
          • Wellness Programs: Robust wellness webinars, employee assistance program, gym reimbursement through our medical plans, fitness center discounts and more
          • Life & Disability Benefits: Company-paid basic life insurance and short-term disability
          • Financial Benefits: 401(k) savings plan, Defined Contribution plan- 15% of base salary invested into the Plan, competitive total compensation programs
          MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting .

          If any applicant is unable to complete an application or respond to a job opening because of a disability, please contact MFS at 617-954-5000 or email talent_acquisition@mfs.com for assistance.

          MFS is an Affirmative Action and Equal Opportunity Employer and it is our policy to not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin, age, marital status, sexual orientation, gender identity, genetic information, disability, veteran status, or any other status protected by federal, state or local laws. Employees and applicants of MFS will not be subject to harassment on the basis of their status. Additionally, retaliation, including intimidation, threats, or coercion, because an employee or applicant has objected to discrimination, engaged or may engage in filing a complaint, assisted in a review, investigation, or hearing or have otherwise sought to obtain their legal rights under any Federal, State, or local EEO law is prohibited. Please see the Know Your Rights: Workplace Discrimination is Illegal document and Pay Transparency Nondiscrimination Provision , linked for your reference.
          Job ID  MFS-230769
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