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Compliance Lead Specialist
2 months ago
About the Role
The Compliance Lead Specialist will be a key member of the MFS Investment Management team, responsible for ensuring that all business units are compliant with regulatory requirements. This role will involve interacting with Compliance Department personnel and assigned business units to provide guidance and direction on regulatory and client compliance requirements.
Key Responsibilities
- Manage assigned business partner relationships by attending status meetings, responding to questions, and communicating compliance requirements.
- Assist with the research of regulatory issues and provide advice and guidance to internal stakeholders to achieve and maintain compliant operations and processes.
- Recommend and draft new guidelines and procedures to ensure compliance with regulatory requirements.
- Respond proactively to requests for assistance from the business, research issues, and provide advice and guidance to ensure compliance.
- Keep abreast of and communicate changes in regulatory rules, guidelines, and interpretations affecting compliance materials.
- Collaborate with Legal to assess implications of new rules and regulations related to assigned areas and recommend courses of action.
- Provide compliance-related training to personnel related to areas of responsibility and junior members of the team.
- Participate in other projects and compliance initiatives and work with relevant colleagues within the wider Compliance team.
Requirements
- Bachelor's degree or equivalent years of experience preferably 5-6+ years with at least 4 years related investment management, financial services, or industry-related compliance experience.
- Excellent interpersonal, organizational, communication, customer-service, team-working, and problem-solving skills.
- Experience in multi-tasking and able to prioritize according to business need.
- Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization.
- Strong attention to detail is essential.
- Good business judgment and the ability to handle challenges while maintaining a professional approach to problem-solving.
