Director, Investment Compliance
Whether you're an investment professional, an expert in sales or a technology specialist, you'll find a culture at MFS that supports you in doing what you do best. Our employees work together to reach better outcomes, always favoring the strongest idea over the strongest individual. We put people first and show 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. Job Description PURPOSE:
The Investment Compliance Officer is accountable for coordinating the development and maintenance of a global approach to investment compliance that reflects the requirements of our clients and industry best practices and takes advantage of MFS' global footprint. The Investment Compliance Officer manages the investment compliance program across all asset classes. The investment compliance function verifies that MFS manages client accounts in a manner consistent with applicable legal, regulatory, and client-imposed requirements, and monitors MFS' shareholdings and prepares and files reports with global regulators and issuers as to the extent required. The Investment Compliance Officer interacts with and provides consultation to senior management and collaborates with functional leaders across Investments, Distribution, Investment Operations, Technology, Legal and Compliance. PRINCIPAL RESPONSIBILITIES:
- Manage and develop the Investment Compliance team.
- Develop and maintain effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with MFS' investment professionals and other senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new trading activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
- Develop global strategy and set priorities for investment compliance function.
- Establish, maintain and implement global compliance policies and procedures appropriate to MFS' investment activities and reflective of industry best practices, regulatory requirements/expectations, and emerging risk.
- Keep current with evolving marketplace dynamics and global regulatory requirements, as well as emerging technology. Continually seek and implement new opportunities for improvement, efficiency and enhancement of the program.
- Leverage data, data analytics and data science for advanced workflows and compliance monitoring, and to support broader corporate initiatives.
- Develop and deliver education curricula for MFS' Investors based on MFS' needs.
- Performs additional responsibilities as required.
• Bachelor's Degree or equivalent work experience.
• At least 12 to 15 years work related investment compliance experience.
• Proven track record managing and developing a team, as well as collaborating with colleagues across functions and geographies.
• Strong working knowledge of multiple assets classes, particularly fixed income and derivatives.
• Proficient in the use of investment compliance systems. Familiarity with Charles River is a plus.
• Firm understanding of data environments and workflow concepts. Experience with data integration initiatives preferred.
• Excellent interpersonal, organizational, communication, team-working and problem-solving skills.
• Strategic foresight and entrepreneurial mindset around innovation and evolution to build long-term, sustainable outcomes. • Ability to disrupt and drive change while collaborating and building bridges with cross-functional teams, including domestic and international team members.
• Excellent presentation skills are required. Must be able to present comfortably to groups of all levels and to educate and persuade audience during these presentations.
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 email@example.com for assistance.
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