Compliance Lead Specialist

MFS Investment Management • Boston, MA

3d • $79,000 - $113,000 • Hybrid

About The Position

The Compliance Lead Specialist serves as a senior Investment Compliance resource, providing 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 also provides risk-based compliance advice to assigned business relationships and supports compliance initiatives across the assigned region.

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 need.
• Proven ability to develop and foster strong interpersonal relationships and maintain effective cross-functional teams throughout the 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.
• Knowledge of fixed income and derivatives.

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 and resolve potential compliance breaches, including 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 to ensure 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.
• Assist with researching regulatory issues and provide advice and guidance to internal stakeholders to support compliant operations and processes.
• Become proficient in and follow all 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 and work with relevant colleagues across the wider 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 contributes an amount equal to 15% of base salary to a retirement account separate from the company-sponsored 401(k).
• Education assistance: $100 monthly contribution toward student loans, up to a $10,000 lifetime maximum.
• 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 and an employer contribution to a Health Savings Account.
• Tax-deferred commuter benefits and medical and dependent-care flexible spending accounts.
• Wellness programs, including wellness webinars, an employee assistance program focused on mental health, and a subsidized fitness benefit through Wellhub.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior