Compliance Senior Specialist

MFS Investment Management • Boston, MA

3d • Hybrid

About The Position

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. THE ROLE Using discretion and judgment, this position is primarily responsible for providing flexible support across multiple Corporate Compliance functions, which includes, but is not limited to, personal trading oversight, supporting MFS’ Transfer Agent, reporting and tracking of training delivered by Compliance and supporting Generative AI monitoring and AI governance frameworks. This position additionally works with other colleagues within the Compliance team by performing monitoring and testing activities as needed.

Requirements

• 2-5+ years relevant experience from investment management, financial services, or industry related.
• Compliance experience.
• Excellent interpersonal, organizational, communication, customer-service, team-working and problem-solving skills.
• Must be able to write effectively, and present research, analysis, and conclusions in a persuasive manner.
• 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.

Nice To Haves

• Bachelor’s Degree or equivalent work experience.
• Transfer agent /Retirement Plan Administration knowledge a plus.
• PowerPoint skills preferred.

Responsibilities

• Perform employee conduct related reviews, such as ongoing monitoring of personal trading alerts.
• Provide support to MFS’ Transfer Agent which includes participating in regulatory change impacting MFSC.
• Support MFS’ Transfer Agent by conducting compliance reviews of TA and recordkeeper documentation associated with IRA products and prototype retirement accounts, ensuring alignment with regulatory requirements, internal policies and operational standards.
• Perform Generative AI monitoring activities and provide support of the AI governance frameworks.
• Prepare reports and presentations in support of various Corporate Compliance functions, like Committee reporting, Education, trending, etc.
• Work with members of the Compliance Department to perform monitoring and testing activities as needed, including writing of any relevant reports and evaluation of findings.
• Report and track training delivered by Compliance.
• Assist with testing and validation of Compliance training to confirm accuracy and completeness.
• Support ongoing records and privacy oversight processes.
• Assume additional responsibilities as needed.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 501-1,000 employees