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To apply, please visit: https://mfs.wd1.myworkdayjobs.com/MFS-Careers/job/Boston/Compliance-Sr-Specialist---Distribution_MFS-230098
*Don't forget to mention BWF!
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.
What you will be responsible for:
THE ROLE
Under the direction of the Compliance Officer, the Compliance Sr. Specialist is responsible for supporting the Broker/Dealer (B/D) Compliance Program and related monitoring efforts, including assisting the CCO of MFS Funds Distributors as needed in ongoing efforts to ensure Compliance with FINRA and SEC Rules. This role supports the Compliance Officer in managing the Regulatory Change Management (RCM) Program including assisting in the preparation of related quarterly reporting to Senior Management, Funds/Luxembourg Boards and Sun Life, as well as monthly updates to the Senior Legal/Compliance/Enterprise Risk (LCERM) team. This role works closely with MFS counsel and external law firm to ensure that MFSI lobbyist registration activity is updated and accurate.
WHAT YOU WILL DO
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Manage the MFD office inspection program and provide related documentation to regulator (FINRA), as needed.
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Monitor social media use by and outside activities of MFD registered representatives.
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Partner with key personnel throughout MFS to ensure that the required regulatory documentation associated with the MFD Compliance Program, including the MFD Compliance Manual, the MFD Written Supervisory Procedures and the MFD Business Continuity Plan remains current and accurate.
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With Global Distribution Solutions team and Compliance Officer, plan and execute the internal portion of testing of MFD related procedures as required under FINRA Rule 3120.
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Assist in any other special projects initiated by CCO of MFD/Compliance Officer to ensure Compliance.
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Assist in all aspects of the RCM Program including the production of ICCC/Board/SunLife Regulatory Dashboards and related work. Identify opportunities for process improvement and eventually become a subject matter expert on Archer functionality.
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Execute on a wide variety of other projects including internal audits, regulatory requests and FINRA licensing/registration matters. Partner with Sales Practice Compliance team and Licensing Senior Specialist to successfully onboard and train registered representatives.
WHAT WE ARE LOOKING FOR
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Bachelor's Degree or equivalent work experience.
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2-5+ years of related work experience - Significant prior exposure to Compliance and related rules and regulations is preferred as is experience working in a compliance-related function.
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Strong interpersonal, organizational, communication, team-working and problem-solving skills. Must be able to write effectively, and present research, analysis, and conclusions in a persuasive manner.
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Must be thorough, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy, and to work on multiple projects while meeting competing deadlines.
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Effective analytical abilities are required, including solid research skills and the ability to recommend solutions from that analysis.
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Must be able to take ownership for the delivery of projects while also operating successfully in a cross-functional team environment. Demonstrated ability to work effectively and collaboratively with all organizational levels, including senior level LCERM team members and senior Distribution Management, as needed. The desire to further develop and foster strong interpersonal relationships is needed.
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Understanding and willingness to learn business operations and practices, procedures, and controls. Desire to keep abreast of best practices as well as evolving issues within scope of the position is required.
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Presentation skills are required as is the ability to present comfortably before a small group (10).
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May represent MFS at meetings, conferences, or related industry events.
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Able to work overtime as necessary to keep current with work.
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Some regional travel may be required.
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Expectation is that candidate will have FINRA licenses (S6 or S7) or will obtain during first 6-9 months of employment.
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Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in MFS systems as required to perform the duties of this position.
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Must be able to conduct on-line research and to utilize applicable tools.
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Willingness to become expert in Archer and other technology as needed.
#LI-HYBRID
At MFS, we are dedicated to building a diverse, inclusive and authentic workplace. If you are excited about this role but your past experience doesn't align perfectly, we encourage you to apply - you might be just the right candidate for this role or others.
What we offer:
- Generous time-off provided: including "Responsible time off" for many roles, paid company holidays when the US Stock Exchange is closed, plus paid volunteer time
- Family Focus: Up to 20 weeks of paid leave for new parents, back-up care program, dependent care flexible spending account, adoption assistance, generous caregiver leave
- Health and Welfare: Competitive medical, vision and dental plans, plus tax-free health savings accounts with company contributions
- Wellness Programs: Robust wellness webinars, employee assistance program, gym reimbursement through our medical plans, fitness center discounts and more
- Life & Disability Benefits: Company-paid basic life insurance and short-term disability
- Financial Benefits: 401(k) savings plan, Defined Contribution plan- 15% of base salary invested into the Plan, competitive total compensation programs
MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting.
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