Distribution Oversight Sr. Specialist

2 weeks ago

London, United Kingdom MFS Investment Management 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.

THE ROLE

Monitors and reviews electronic communications, non cash compensation payments and expenses of assigned employees to ensure they comply with FINRA, SEC and other regulatory and internal guidelines. Coordinates with Distribution Solutions, Compliance and assigned business areas to address issues that may arise.

WHAT YOU WILL DO- As a member of the Global Distribution Oversight Team (GDOT), performs the supervisory review of electronic communications, non cash compensation payments, and expenses of assigned employees and/or departments, including department supervisors, with respect to all current FINRA, SEC and other pertinent regulatory requirements including MFS guidelines and procedures. Protects highly confidential nature of such communications.- Evaluates electronic communications and payments against applicable guidelines for potential business practice issues or regulatory concerns. Analyzes history and other sources of information of potential issues. Performs further investigation and obtains additional detailed research by discussing and questioning the source(s).- Identifies and escalates potential issues to Global Distribution Oversight Sr. Manager, Compliance and/or assigned business areas as needed. Recommends next course of action to be taken on issue.-
- Possesses working knowledge of each distribution unit and their specific business needs both internally and in the industry. Builds relationships and communicates directly with department supervisors of distribution areas.- Assists with the development of policies and procedures for oversight and review based on approved criteria such as keyword searched and random sampling in conjunction with Compliance.- Meets with the sales supervisors and their teams to communicates policies and procedures to assigned business areas.- Examines department workflow and makes recommendations on ways to increase efficiency while maintaining internal controls.- Assists with projects to ensure effective and efficient integration of department and corporate initiatives with new or existing workflows/processes to ensure applicable goals are met within regulatory, internal and other framework. Provides information planning, establishes project level scope, priorities and timelines.- Masters the use of applicable technology tools used in the review process.- Responsible daily for the management of electronic communication Supervision tool, CRM system, and expense system.- Assists the Global Oversight Sr. Manager in the development of reports and is also responsible for the monthly upkeep and analysis of these reports.- Manages specialized projects and performs additional duties as requested.

WHAT WE ARE LOOKING FOR- Bachelor's Degree or proven industry work experience.- Electronic communication review experience preferred.- Excellent communication, interpersonal and decision-making skills. Ability to work independently and interact with all levels of the organization.- Demonstrated project management experience.- Experience working in an environment where controls and deadlines are required.- Strong computer skills. Ability to analyze technology issues and concerns.- Secondary language preferred- Ability to function with a high degree of independence.

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What we offer:
At MFS, we view our employees as family — and like you, we want our family happy and healthy. That's why we provide competitive benefits programs and family-friendly policies which support the work-life balance needs of our employees.

MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting.

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