Investment Compliance Specialist

4 weeks ago

London, United Kingdom eFinancialCareers 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 ourcommunity 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.

**What you will be responsible for**:
**RESPONSIBILITIES**:

- Act as a compliance resource by providing on call compliance support to the Global based equity and fixed income Investment Teams and Traders during the trading day in Europe. Evaluate proposed orders to determine compliance with investment restrictions.
- Actively review and monitor numerous clients' investment guidelines and regulatory restrictions (e.g. Investment Management Agreement, Prospectus etc).
- Provide valuable guidance and 360° impact analysis of compliance requirements effect on investment
- Effectively implement front-end restrictions as needed for new retail products and institutional accounts. Understand the impact that all security types have on each rule and how to set up those rules
- Work with colleagues in Compliance, Legal and Product Management to interpret, translate and implement compliance rules as directed by Regulating bodies, Institutional Investment Management Agreements, Fund Prospectuses or internal committees;
- Work with other Compliance team members to mitigate risk by creating policies, procedures and preventative risk controls to ensure the effectiveness of the pre trade and order entry compliance monitoring function.
- Review and analyze daily investment compliance monitoring of portfolios employing a variety of automated and manual processes. Update and review testing for any changes to current fund or account investment objectives, Ensure that accounts comply with variousrules and regulations. operations, trader workflow and portfolio management
- Effectively implement front-end restrictions as needed for new retail products and institutional accounts. Understand the impact that all security types have on each rule and how to set up those rules
- Work with colleagues in Compliance, Legal and Product Management to interpret, translate and implement compliance rules as directed by Regulating bodies, Institutional Investment Management Agreements, Fund Prospectuses or internal committees;
- Work with other Compliance team members to mitigate risk by creating policies, procedures and preventative risk controls to ensure the effectiveness of the pre trade and order entry compliance monitoring function.
- Review and analyze daily investment compliance monitoring of portfolios employing a variety of automated and manual processes. Update and review testing for any changes to current fund or account investment objectives, Ensure that accounts comply with variousrules and regulations.

**JOB REQUIREMENTS**:

- Experience of investment operations and compliance related experience; strong knowledge of financial services rules and regulations (including 1940 Act and UCITs) and compliance risk management and best practices;
- Complete understanding of different security types (Equity and Fixed Income); with some derivatives experience preferred
- Good business judgment and the ability to handle stressful situations with internal clients while maintaining a professional approach to problem solving and risk reduction;
- Excellent organizational skills and the ability to work in a high pressure, fast paced environment;
- Strong analytical skills and attention to detail
- Excellent interpersonal skills and written communication skills.

LI-CP1

LI-HYBRID

**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.

  • Compliance Distribution Specialist

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. **THE RESPONSIBILITIES**: - Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. -...

  • Compliance Distribution Specialist

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...

  • Compliance - Investments

    1 month ago

    London, United Kingdom ISM Investment Holdings Ltd Full time

    **About us** We are a dynamic and innovative start-up company dedicated to creating a leading global investment business with a commitment to excellence and a passion for creativity. We believe in fostering a collaborative and empowering work environment where talented individuals can thrive and make a significant impact. We are a start-up looking for the...

  • Compliance Distribution Specialist

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Are you the right candidate for this opportunity Make sure to read the full description below.Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design,...

  • Compliance Distribution Specialist

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Are you the right candidate for this opportunity Make sure to read the full description below.Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design,...

  • Compliance Distribution Specialist

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...

  • Compliance Distribution Specialist

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support...

  • Compliance Distribution Specialist

    1 day ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures....

  • Compliance Distribution Specialist

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    4 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.THE RESPONSIBILITIES:Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development...

  • Compliance Distribution Specialist

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. THE RESPONSIBILITIES: Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the...

  • Investment Compliance Specialist

    4 weeks ago

    London, United Kingdom eFinancialCareers 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 ourcommunity and each other. Because what we do matters - to us as valued professionals and to the millions of...

  • Ad Regulatory Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global institutional investment management firm, based in the City. They are looking for a Regulatory Compliance specialist to join the team. The role is hybrid with 2/3 days expected in the office each week. **THE RESPONSIBILITIES**: - Assist in the management, supervised by the Director, Risk & Compliance, of the risk and...

  • Investment Analyst

    5 hours ago

    London, United Kingdom Insight Investment Full time

    Insight Investment are currently looking for an Investment Analyst to join the Investment Management Division team in London. The successful individual will focus on analysing and recommending structured finance investments across the capital structure from Investment Grade debt to Unrated instruments. Role Responsibilities •Modelling and evaluating...

  • Senior Compliance Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serve as an advisor to the business, and interfaces regularly with business...

  • Compliance Officer

    4 weeks ago

    London, United Kingdom Miryco Consultants Ltd Full time

    Miryco Consultants are working with a global leading asset manager to hire a Compliance Specialist to join their Advisory function. This is an exciting opportunity for compliance professionals with experience in the investment industry and a strong understanding of investment platforms regulations to join an industry-leading team. Provide regulatory...

  • Compliance Officer

    1 day ago

    London, United Kingdom Miryco Consultants Ltd Full time

    Job Description Miryco Consultants are working with a global leading asset manager to hire a Compliance Specialist to join their Advisory function. This is an exciting opportunity for compliance professionals with experience in the investment industry and a strong understanding of investment platforms regulations to join an industry-leading team. Provide...

  • Investment Analyst

    6 hours ago

    London Area, United Kingdom Insight Investment Full time

    Insight Investment are currently looking for an Investment Analyst to join the Investment Management Division team in London. The successful individual will focus on analysing and recommending structured finance investments across the capital structure from Investment Grade debt to Unrated instruments.Role Responsibilities•Modelling and evaluating...