- Manages and oversees complex, strategic projects and significant regulatory initiatives.
- Leads a team of compliance professionals. Ensures daily, weekly, monthly and other interval controls are completed by the team in a timely and accurate manner.
- Develops and maintains effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with internal business partners and senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
- Reviews and disseminates management reports, metrics, and other reporting as needed.
- Keeps 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.
- Establishes, implements and maintains global compliance policies and procedures appropriate to MFS and reflective of industry best practices, regulatory requirements/expectations, and emerging risk.
- Bachelor's Degree required.
- 8-12+ years of compliance experience.
- Thorough understanding of regulatory requirements relating to compliance business area for both US and internal jurisdictions
- Excellent interpersonal, organizational, communication, team-working and problem-solving skills.
- 8+ years of management experience to develop a team of Compliance professionals. Must be able to motivate and develop staff resources, including setting priorities, performance levels, expectations, goals, professional development, etc.
- Demonstrated project management skills and the ability to analyze operational effectiveness. Must effectively drive solutions throughout the organization and present ideas clearly.
- Ability to exercise judgment, pursue initiatives and implement changes necessary to align functional area with the strategic/long-term goals of the Compliance Department.
- Thorough understanding of the business operations and practices, procedures, and controls specific to the business units supported is required as is the ability to apply same to compliance-related dealings with the business units supported. Must be fully aware of best practices and evolving issues within scope of the position and able to relate same to MFS' operations and practices.
- Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to effectively represent Compliance with industry peers and in client-facing situations is required.
- Master's degree preferred.
- Proficient in the use of compliance systems (for example, Charles River).
- 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
-
Compliance Officer
2 weeks ago
Franklin Templeton Investments Boston, United StatesGlobal Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. This work includes the administration and prepa Compliance Officer, Officer, ...
-
Compliance Officer
1 week ago
Marsh & McLennan Companies, Inc. Boston, United StatesWhat can you expect? Marsh McLennans Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, s Compliance Officer, Officer, Co ...
-
Compliance Officer
1 week ago
Marsh & McLennan Companies Boston, United StatesCompany: · MMC Corporate · Description: · What can you expect? · Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies ...
-
Compliance Officer
1 week ago
JW Michaels & Co. Boston, United StatesGrowing Boston based investment management firm seeks a junior/mid level compliance officer to join their growing team. This individual will work as part of a two person team directly with the CCO. · *2-5+ years of compliance experience within the finance space, preferably with ...
-
Compliance Officer
1 week ago
MFS Investments Boston, United StatesAt 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. ...
-
Compliance Officer
2 weeks ago
The Ceres Group Boston, United StatesJob Title:Compliance Officer · Scroll down to find the complete details of the job offer, including experience required and associated duties and tasks. · Job Function:Compliance · Location:Boston, MA · Industry:Asset Management · Job Number:JO · Mid-sized global asset mana ...
-
Compliance Officer
1 week ago
The Ceres Group Boston, United StatesJob Title:Compliance Officer Job Function:Compliance Location:Boston, MA Industry:Asset Management Job Number:JO Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great e ...
-
Compliance Officer
1 week ago
Harrison Gray Search Boston, United StatesHarrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Officer. · The Compliance Officer is an integral part of the Compliance teams mission to conduct business consistent with the highest standard ...
-
Compliance Officer
1 week ago
Audax Group Boston, United StatesAudax Group is a leading alternative investment manager with offices in Boston, New York, San Francisco, and London. Since its founding in 1999, the firm has raised over $38 billion in capital across its Private Equity and Private Debt businesses. With more than 400 employees and ...
-
Compliance Officer
2 days ago
Harrison Gray Search Boston, United StatesHarrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Officer. · The Compliance Officer is an integral part of the Compliance teams mission to conduct business consistent with the highest standard ...
-
Compliance Officer
1 week ago
MFS Investment Management Boston, United StatesIs this your next job Read the full description below to find out, and do not hesitate to make an application. · THE ROLE · The Compliance Officer manages a team of compliance professionals to ensure that MFS manages client accounts in a manner consistent with applicable legal, ...
-
Compliance Officer II
2 weeks ago
State of Massachusetts Boston, United StatesDiscusses the advantages of formal apprentice training programs in the skilled trades and expansion industries with representatives of management and with labor in the public and private sectors, civic, veterans, schools, and legislative groups to pr Compliance Officer, Officer, ...
-
Compliance Officer II
2 weeks ago
State of Massachusetts Boston, United StatesThe Division of Apprentice Standards (DAS) is responsible for promoting, developing, and servicing registered apprenticeship programs in the Commonwealth of Massachusetts. Our goal is to connect people to high-demand job opportunities across the Commonwealth through equitable acc ...
-
Compliance Officer II
2 weeks ago
The Commonwealth of Massachusetts Boston, United StatesJob Description · While professional experience and qualifications are key for this role, make sure to check you have the preferable soft skills before applying if required. · Compliance Officer II (Overpayments Focus) · The Compliance Officer is responsible for conducting inv ...
-
Compliance Officer II
1 week ago
The Commonwealth of Massachusetts Boston, United StatesJob Description · Compliance Officer II (Overpayments Focus) · The Compliance Officer is responsible for conducting investigations for compliance with M.G.L. Chapter 175M and 458 CMR 2.00 , for identifying and investigating cases in accordance with department policies and proc ...
-
Director, ADA Compliance Officer
2 weeks ago
Commonwealth Care Alliance Boston, United States**Why This Role is Important to Us:** · The Director, ADA Compliance Officer serves as the primary subject matter expert and central point of contact for all Americans with Disabilities Act (ADA) related inquiries, requests, and accommodations. They must collaborate closely with ...
-
Associate Research Compliance Officer
5 days ago
Dana-Farber Cancer Institute Boston, United StatesJob ID: 38200 · Location: 10 Brookline Place West, · Brookline, · MA 02445 · Category: Research Administration · Employment Type: Full time · Work Location: Remote: occasional time on campus · Overview · This position's work location is fully remote with the expectation of ...
-
UBS Boston, United StatesYour role · Are you an expert on the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and mot ...
-
UBS Boston, United StatesYour role · Are you an expert on the Wealth Management industry, and able to provide analysis on the associated suitability, supervision, and conduct risks? Are you interested by legal and regulatory nuances, and do you enjoy solving complex problems? Are you an organized and mot ...
-
Clark Insurance Boston, United StatesCompany:MercerDescription:At Mercer, we're creating a culture where you can bring your authentic self to work. When you join us, you bring your inclusive energy and enthusiasm to a team that values you personally and professionally - regardless of who you are, what you look like, ...
Compliance Officer - Boston, MA, United States - MFS Investment Management
Description
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 Officer manages a team of compliance professionals to ensure 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 person interacts with and provides consultation to senior management and collaborates with functional leaders across Investments, Distribution, Investment Operations, Technology, Legal and Compliance.
WHAT YOU WILL DO
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:
If any applicant is unable to complete an application or respond to a job opening because of a disability, please contact MFS at 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 Know Your Rights: Workplace Discrimination is Illegal document and Pay Transparency Nondiscrimination Provision , linked for your reference.
