Compliance Lead Specialist

MFS•Boston, MA

1d•Hybrid

About The Position

The Compliance Lead Specialist is a senior Investment Compliance resource who provides guidance and subject matter expertise on regulatory and client guideline requirements. The role partners across MFS to assess complex matters, resolve issues, and strengthen compliance practices. It interprets client and regulatory requirements into monitoring controls and oversees daily trade activity and periodic account reviews to ensure requirements are accurately implemented and operating effectively in the Firm’s guideline monitoring system. The position investigates potential compliance breaches, including assessing root cause and impact, documenting conclusions, escalating material matters, and recommending corrective and preventive actions. It also supports departmental workflows and initiatives, advises internal stakeholders on regulatory issues, maintains assigned business relationships, and contributes to compliance projects and global initiatives as required.

Requirements

Bachelor’s degree or equivalent years of experience.
Preferably 5–6 or more years of experience, including at least 4 years of related investment management, financial services, or industry-related compliance experience.
Excellent interpersonal, organizational, communication, customer-service, teamwork, and problem-solving skills.
Ability to write effectively and present research, analysis, and conclusions persuasively.
Experience multitasking and prioritizing according to business needs.
Proven ability to develop and foster strong interpersonal relationships and maintain effective cross-functional teams throughout an organization.
Strong attention to detail.
Good business judgment and ability to handle challenges while maintaining a professional approach to problem solving.

Nice To Haves

CRD experience.
Fixed Income and Derivatives knowledge.

Responsibilities

Interpret and translate client and regulatory requirements into actionable monitoring controls.
Oversee daily trade activity and periodic account reviews to confirm requirements are accurately implemented and operating effectively within the Firm’s guideline monitoring system.
Investigate potential compliance breaches by determining root cause and impact, documenting conclusions, escalating material matters, and recommending corrective and preventive actions.
Participate in departmental initiatives involving new or existing workflows and processes, ensuring applicable goals are met within regulatory, internal, and other frameworks.
Own assigned business relationships by providing timely, risk-based compliance advice, clearly communicating requirements and decisions, and meeting established service-level and quality standards.
Research regulatory issues and provide appropriate advice and guidance to internal stakeholders to support compliant operations and processes.
Become proficient in and follow applicable departmental policies and procedures.
Keep abreast of and communicate changes in regulatory rules, guidelines, and interpretations affecting compliance.
Participate in compliance-related projects and initiatives, working with relevant colleagues across the Compliance team as required.
Support other global initiatives and functions as required in the assigned region.

Benefits

Competitive incentive bonus based on individual and company performance.
MFS contribution equal to 15% of base salary to a retirement account separate from the company-sponsored 401(k).
Education assistance of $100 monthly, up to a $10,000 lifetime maximum, paid directly to the loan provider.
Tuition reimbursement up to $8,000 annually.
Access to discounted tutors and college coaches.
Generous time off and fully paid leaves, including 20 weeks for maternity leave and 12 weeks for parental and caregiver leaves.
Choice of medical and dental plans.
Employer contribution to a Health Savings Account.
Tax-deferred commuter benefits and flexible spending accounts for medical and dependent care.
Wellness programs, including wellness webinars, an employee assistance program focused on mental health, a subsidized fitness benefit via Wellhub, virtual personal training, and well-being apps.