Compliance Lead Specialist

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

The Compliance Lead Specialist will interact with Compliance Department personnel and assigned business units in related regulatory and client compliance requirements.  Train compliance professionals and key business stakeholders on regulatory and client requirements and support the management of assigned business units by providing guidance and direction to its staff.  The role may also involve participation in other Compliance initiatives and projects. 
WHAT YOU WILL DO

• Manage assigned business partner relationships by attending status meetings, responding to questions, communicating compliance requirements and delivering on stated review turnarounds and standards.

• Assist with the research of regulatory issues and provide appropriate advice and guidance to internal stakeholders to assist in achieving and maintaining compliant operations and processes.

• Liaise with regulators (FSA/KLFB) as well as self-regulatory bodies in Japan, to ensure compliance with applicable laws and regulations, including but not limited to handling of regulatory inquiries, filings, reporting, and examinations.

• Review sales and marketing materials, documents and external communication to ensure compliance with applicable laws and regulations.

• Recommend and draft new guidelines and procedures.

• Respond proactively to requests for assistance from the business, research issues, provide advice and guidance.Use influencing skills to ensure that the appropriate solutions are agreed.

• Keep abreast of and communicate changes in regulatory rules, guidelines and interpretations affecting compliance materials.

• Keep updated on global regulatory updates and interpretive releases. With senior managers, collaborate with Legal to assess implications of new rules and regulations related to assigned area, apprises others of developments, and recommend courses of action as appropriate.

• 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, where required.

• Support other global initiatives/functions as required in assigned region.

WHAT WE ARE LOOKING FOR

• Bachelor’s degree or equivalent years of experience

• 5-6+ years of compliance experience in investment management companies, preferably in both discretionary investment management business and investment trust management business, with overall understanding of the Financial Instruments and Exchange Act, the Act on Investment Trusts and Investment Corporations and rules of self-regulatory bodies.

• Excellent interpersonal, organizational, communication, customer-service, team working, analytical and problem- solving skills.  Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner.

• 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 judgement and the ability to handle challenges while maintaining a professional approach to problem solving.

• Fluent in Japanese and excellent written and verbal skills in English.

#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:

At MFS, we view our employees as family — and like you, we want our family happy and healthy. That's why we provide competitive benefits programs and family-friendly policies which support the work-life balance needs of our employees.
 

MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting.

If any applicant is unable to complete an application or respond to a job opening because of a disability, please contact MFS at 617-954-5000 or email [email protected] for assistance. 

MFS is an Affirmative Action and Equal Opportunity Employer and it is our policy to not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin, age, marital status, sexual orientation, gender identity, genetic information, disability, veteran status, or any other status protected by federal, state or local laws. Employees and applicants of MFS will not be subject to harassment on the basis of their status. Additionally, retaliation, including intimidation, threats, or coercion, because an employee or applicant has objected to discrimination, engaged or may engage in filing a complaint, assisted in a review, investigation, or hearing or have otherwise sought to obtain their legal rights under any Federal, State, or local EEO law is prohibited. Please see the Know Your Rights: Workplace Discrimination is Illegal document and Pay Transparency Nondiscrimination Provision, linked for your reference.