MFS Investment Management · 1 month ago
Compliance Officer - Trading
Boston
Full-time
Hybrid
Senior Level, Lead/Staff
$120K/yr - $172K/yr
8+ years expMFS Investment Management is dedicated to building a diverse and inclusive workplace. The Compliance Officer is responsible for overseeing the trading compliance program, ensuring that trading activities are conducted fairly and transparently while adhering to regulations and internal policies.
EducationHigher EducationVenture Capital
Responsibilities
Manages and oversees complex, strategic projects and significant regulatory initiatives
Develops and maintains effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with internal business partners and senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new activities, and to provide a framework to enable well informed business decisions relative to regulatory risks
Keeps current with evolving marketplace dynamics and global regulatory requirements, as well as emerging technology. Continually seek and implement new opportunities for improvement, efficiency and enhancement of the program
Establishes, implements and maintains global compliance policies and procedures appropriate to MFS and reflective of industry best practices, regulatory requirements/expectations, and emerging risk
Qualification
Required
8-12+ years of compliance experience
Bachelor's Degree required
Thorough understanding of regulatory requirements relating to compliance business area for both US and internal jurisdictions
Excellent interpersonal, organizational, communication, team-working and problem-solving skills
Familiarity with trading practices across equities, fixed income and derivatives
Exercises strong judgement in situations requiring interpretation of regulatory intent, materiality, and fiduciary duty
Demonstrated project management skills and the ability to analyze operational effectiveness. Must effectively drive solutions throughout the organization and present ideas clearly
Ability to exercise judgment, pursue initiatives and implement changes necessary to align functional area with the strategic/long-term goals of the Compliance Department
Thorough understanding of the business operations and practices, procedures, and controls specific to the business units supported is required as is the ability to apply same to compliance-related dealings with the business units supported. Must be fully aware of best practices and evolving issues within scope of the position and able to relate same to MFS' operations and practices
Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to effectively represent Compliance with industry peers and in client-facing situations is required
Preferred
Masters degree preferred
Proficient in the use of compliance systems (for example, Charles River)
Benefits
MFS contributes an amount equal to 15% of your base salary to your retirement account that is separate from the company -sponsored 401(k)
Education Assistance: MFS contributes $100 monthly up to $10,000 lifetime maximum directly to loan provider
Education Assistance: Tuition reimbursement up to $8,000 annually
Education Assistance: Access to discounted tutors and college coaches
Generous time off and fully paid leaves including 20-weeks for maternity, 12-weeks for parental and caregiver leaves
Choice of medical and dental plans and an and an employer contribution into the Health Savings Account
Tax deferred commuter benefits & flexible spending accounts (medical & dependent care)
Wellness Programs: Robust wellness webinars, employee assistance program with a focus on mental health, subsidized fitness benefit via Wellhub (formerly Gympass), where you can workout at gyms, studios and boutique fitness locations near you, join virtual personal training sessions and access a wide variety of well-being apps
Company
MFS Investment Management
Massachusetts Financial Services Company is a privately owned investment manager. The firm also provides retirement planning, college It is a sub-organization of Sun Life U.S..
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown1982-01-01Acquired
Leadership Team
Barnaby Weiner
Head of Sustainability and Stewardship
Recent News
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