The Compliance Specialist will support the MFS compliance department globally across a wide range of compliance-related activities, provide critical investment compliance support in the APAC region and support MFS’s globally integrated compliance program.
WHAT YOU WILL DO:
- Supports Compliance Officer by working in collaboration with MFS’ Investment Compliance Department to ensure that MFS establishes, maintains and implements compliance policies and procedures remain appropriate to MFS' trading activities and reflective of industry best practices, regulatory requirements/expectations, and emerging risk.
- Actively review and monitor clients' investment guidelines and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, and Statement of Additional Information).
- Review and analyze the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes.
- Provide assistance to Compliance Officer when providing direction and support for MFS' personnel to ensure that MFS' policies and procedures are understood and implemented effectively.
- Assist Compliance Officer with to develop and deliver education curricula for MFS' personnel based on MFS' needs.
- Assist in the development and maintenance of effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with MFS' investment professionals and other senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new trading activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
- Keep current with evolving marketplace dynamics, brokerage arrangements, trading patterns and approaches, and global regulatory requirements.
- Assist in continually seeking and implementing new opportunities for improvement and enhancement.
- Assume additional responsibilities as needed.
WHAT WE ARE LOOKING FOR:
- Bachelor's Degree or equivalent work experience.
- 0-2+ years of work-related experience.
- Working knowledge of fixed income and equity investment trading functions (buy side or sell side), and related rules, regulations and compliance requirements is preferred.
- Excellent 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. Must be polished, professional, mature, well-mannered and well-spoken.
- Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for and manage the implementation through to acceptance.
- Able to manage the delivery of projects while ensuring the cooperation and success of cross-functional teams, with both domestic and international team members. Assist in effectively driving solutions throughout the organization and present ideas in an effective, non-confrontational manner. Escalate issues, advocate for solutions and ensure implementation.
- High-level fluency in Mandarin is a plus
- Familiarity with Charles River, trading and market data systems is a plus.
- Excellent presentation skills are a plus. This role will eventually be required to present comfortably before groups and to educate and persuade the audience during presentations.