Corporate Compliance Specialist

MFS Investment Management
Boston, USA
Jul 03, 2022
Jul 21, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

What you will be responsible for: BASIC PURPOSE:
The Corporate Compliance Specialist is responsible for designing and implementing components of the compliance monitoring program including on-going monitoring, thematic reviews, and data analysis procedures. The Senior Specialist will provide support to Corporate Compliance and interact with MFS employees, Compliance Department personnel and Legal Department personnel to design and execute monitoring program procedures, evaluate and report on results and develop and monitor action plans to address issues identified. The Senior Specialist will also assist in supporting the global client reporting compliance program, which includes working closely with Compliance and MFS client facing teams to respond to client requests.

PRINCIPAL RESPONSIBILITIES: Primary functions will include, but are not limited to:
  • Designing and executing on-going monitoring, thematic reviews, and data analysis procedures in support of compliance monitoring of MFS' policies and procedures;
  • Developing remediation plans to address issues or concerns identified and monitoring to completion;
  • Reporting findings to supervisor and/or senior management and preparing periodic status reports or presentations on the monitoring program activities and results.
  • Responding to MFS' global compliance client requests.
  • Providing direction and support for MFS' employees to ensure that MFS' policies and procedures are understood and implemented effectively.
  • Leading the design, development and delivery of tools and processes to support management and analytical reporting by designing and maintaining reports and procedures that support the compliance programs ;
  • Preparing periodic management status reports or presentations on and respond to questions regarding compliance program activities and results.
  • Keeping abreast of regulatory developments affecting the industry;
  • Providing advice to employees and management on regulatory issues or concerns and recommends appropriate actions.
  • Assuming additional responsibilities as requested, including but not limited to assisting the Compliance Conduct and Education teams.

  • Bachelor's Degree or equivalent work experience.
  • At least 7 years of related compliance experience.
  • Must be fully aware of industry practices and have prior exposure to and knowledge of investment management operations, advisory functions, and related rules and regulations.
  • Excellent interpersonal, organizational, communication, and problem-solving skills.
  • Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization, including domestic and international team members and parties at all organizational levels.
  • Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for same and manage implementation through to acceptance.
  • Strong presentation skills are required. Must be able to present comfortably before small to mid-size groups (10 to 40) and represent MFS at meetings, conferences, or related industry events.
  • Within the scope of the function, experience with reviewing, evaluating, designing and implementing key compliance functions, including risk-based monitoring programs, user manuals and personnel training is required.
  • Demonstrated project management skills and the ability to analyze operational effectiveness are required.



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 .

This position will require individuals to be fully vaccinated against COVID-19 as part of their job responsibilities, unless MFS approves an exemption as an accommodation due to a medical condition or sincerely held religious belief. Submission of an exemption request does not guarantee that an exemption will be approved or that the request can be accommodated.
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 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 EEO is the Law document and Pay Transparency Nondiscrimination Provision , linked for your reference.

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