Compliance Lead Specialist

MFS International Australia Pty Ltd; Greater London; Hybrid; GBP 60,000 - 95,000; Full time

Job summary

MFS International Australia Pty Ltd is seeking a Compliance Lead Specialist to partner with Compliance and business units, guiding regulatory and client requirements, and delivering training to staff.

You will lead on financial promotions approvals for UCITs Fund range in EMEA, monitor regulatory changes, develop guidelines, and support global initiatives in a hybrid remote/on-site environment.

Qualifications

• Bachelor’s degree or equivalent with experience related to investment management, financial services compliance.
• Financial Promotions approvals and general compliance sales practice 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.
• 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.

Responsibilities

• Manage assigned business partner relationships by attending status meetings, responding to questions, communicating compliance requirements and delivering on stated review turnarounds and standard within sales practices and Distribution Compliance.
• Lead on financial promotions approvals on the UCITs Fund range and strategy materials for the EMEA region.
• 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.
• 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.

Skills

Interpersonal skills

Organizational skills

Communication skills

Problem solving

Team work

Prioritization

Education

Bachelor’s degree or equivalent in related field

Job description

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 standard within sales practices and Distribution Compliance.
• Lead on financial promotions approvals on the UCITs Fund range and strategy materials for the EMEA region.
• 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.
• 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 with experience related to investment management, financial services compliance.
• Financial Promotions approvals and general compliance sales practice 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.
• 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.

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 [e-mail] for assistance.

MFS is an 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, linked for your reference.

For almost a century, investors around the world have trusted MFS to achieve their investment goals. Since 1924, when our founders invented the mutual fund, collaboration, a long‑term focus and skilled active research have fueled our success. As a leading global investment manager, we hire employees who share our values, align with investors who share our long‑term philosophy, and always act in the best interest of our clients.