Compliance Lead Specialist

001 Mass Financial Services; Boston (MA); Hybrid; USD 79,000 - 113,000; Full time

Benefits offered by this job

401(k) plan with 15% match

Education assistance: loan repayment

Tuition reimbursement up to $8,000

Paid maternity leave: 20 weeks

Parental and caregiver leaves: 120

Health and dental plans

Wellness programs

Commuter benefits

Job summary

MFS is seeking a Compliance Lead Specialist to serve as a senior Investment Compliance resource, guiding regulatory and client guideline requirements. You will partner across the firm to assess complex matters, resolve issues, and strengthen compliance practices.

The role focuses on translating requirements into controls and overseeing monitoring activities. The ideal candidate has 5–6+ years in investment management compliance, excellent communication, and the ability to navigate multi-tasking

Qualifications

• CRD experience required or preferred.
• Knowledge of fixed income and derivatives is a plus.
• Strong interpersonal and communication skills are essential.
• Excellent problem-solving and multitasking abilities are needed.

Responsibilities

• Interpret and translate client and regulatory requirements into actionable monitoring controls.
• Oversee daily trade activity and periodic account reviews for guideline adherence.
• Investigate and resolve potential compliance breaches, documenting conclusions and actions.
• Provide timely, risk-based compliance advice to internal stakeholders.
• Stay updated on regulatory changes and communicate impacts to the team.

Skills

CRD experience

Fixed Income knowledge

Derivatives knowledge

Interpersonal skills

Communication skills

Problem-solving

Education

Bachelor’s degree or equivalent

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 serves as a senior Investment Compliance resource, providing guidance and subject matter expertise on regulatory and client guideline requirements and partnering across MFS to assess complex matters, resolve issues, and strengthen compliance practices.

WHAT YOU WILL DO

• Interpret and translate client and regulatory requirements into actionable monitoring controls
• oversee daily trade activity and periodic account reviews to confirm requirements are accurately implemented and operating effectively within the Firm’s guideline monitoring system
• Investigates and resolves potential compliance breaches, including determining root cause and impact, documenting conclusions, escalating material matters, and recommending corrective and preventive actions
• Participate in departmental initiatives with new or existing workflows/processes to ensure applicable goals are met within regulatory, internal and other frameworks
• Own assigned business relationships by providing timely, risk-based compliance advice, clearly communicating requirements and decisions, and meeting established service-level and quality 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
• Become proficient and follow all applicable departmental policies and procedures
• Keep abreast of and communicate changes in regulatory rules, guidelines and interpretations affecting compliance
• Participate in compliance related projects and 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 preferably 5-6+ years with at least 4 years related 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.
• 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.

PREFERRED SKILLS, QUALIFICATIONS & EXPERIENCE

• CRD experience.
• Fixed Income and Derivatives knowledge a plus.

Base Salary Range: $79,000.00 - $113,000.00. This position is eligible for competitive incentive bonus. At MFS, we believe in fair and transparent compensation. For that reason, we’re including the salary range for this position. This range reflects our good-faith expectation for what we’ll pay depending on the candidate’s experience, training and education. In addition to the salary, we also offer significant and competitive incentive compensation based on both individual and company performance.

• 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

We are committed to transparency – if you have questions about how we arrived at this range or what additional benefits and bonus opportunities come with the role, we’ll be happy to discuss them

#LI-HYBRID At MFS, we are dedicated to building a diverse, inclusive and authentic workplace. 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.