Investment Compliance Business Partner
6 months ago
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 Investment Compliance Business Partner supports the operations of the Compliance Department and provides strategic direction on the coordination of significant functions and resources of an assigned compliance group. Responsible for ensuring regulatory compliance with respect to work done within Compliance as well as on the part of the business units supported by the compliance group. The Investment Compliance Business Partner interacts with MFS management to monitor and resolve regulatory and compliance issues. Provides leadership in policy development and interpretation based upon global regulatory and legal frameworks.
WHAT YOU WILL DO- Work with Compliance management and senior management to ensure that, within a specific part of the business, the organization’s activities comply with all pertinent legal and regulatory requirements.- Manage a group of compliance professionals, primarily servicing the London Investment Team and trading desk, and support their growth and development.- Support the Investment Team (Portfolio Managers and Traders) by analyzing any compliance issues from order entry through to trade execution. Must be able to provide timely and accurate details on any potential compliance matters (Fixed Income, Equity, and Derivative Products), ensuring a high level of service to the stake holders. Additionally, field ad hoc inquiries from Portfolio Managers and trading as they arise.- Keep abreast of rules and regulations affecting compliance activities and ensures through supervision and testing that these rules and regulations are met.- In conjunction with Compliance management and senior management, implement compliance programs, which will both monitor compliance and ensure that compliance issues are identified and resolved in accordance with established policies and procedures. Implement necessary changes with regard to the compliance monitoring program, compliance policies/procedures/ manuals, training programs and business processes and systems.- Examine department workflow and makes recommendations on ways to increase efficiency while maintaining internal controls.-
- Review reports and otherwise ensure the integrity of reports generated from the department.- Provide training on new and revised regulations as well as relevant compliance policies to employees within and outside of the Compliance Department. May provide training, guidance and support to Compliance Department on systems
- related issues, including project development. May operate as liaison with other systems areas in the company.- Maintain records, or systems which maintain records, in conformity with regulatory and retention requirements.- Manage the review of compliance systems to validate their utility in satisfying regulatory and compliance requirements. Such review will also entail automating existing manual functions.- Develop, review and update procedures and controls within the group and other areas of the company performing compliance functions.- Leads 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 frameworks.- Investigates potential breaches of compliance rules and conduct. Identifies regulatory issues or concerns, provides senior-level reports and recommends corrective actions.- Analyzes data to identify trends and anomalies and develops action plans accordingly.- Performs additional related responsibilities as required.
WHAT WE ARE LOOKING FOR- Bachelor’s degree or equivalent direct experience required.- Relevant experience required from investment management, financial services, or industry related.- work experience required.- Ability to drive solutions throughout the organization and present ideas in an effective manner.- Excellent interpersonal, organizational, communication, collaborative problem-solving, and critical-thinking skills are essential. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner.- Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to work effectively with outside parties at all organizational levels.- Strong presentation skills are required. Must be able to present comfortably before large groups (40+).- Experience in data structure and analysis is desirable as is hands-on experience wi
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