Compliance Lead Specialist

Mass Financial Services; Boston (MA); Presencial; USD 79 000 - 113 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

15% retirement contribution to 401(k)

Tuition reimbursement

Education assistance

Generous leave policies

Health and dental plans

Resumo da oferta

Mass Financial Services (MFS) is seeking a senior Compliance Lead Specialist in Boston to guide regulatory compliance across investment operations. You will translate client and regulatory needs into effective monitoring controls, oversee daily activity, and drive issue resolution with cross-functional teams.

The role requires 5–6+ years in investment compliance, strong communication, and the ability to prioritize in a fast-paced environment.

Qualificações

• Bachelor's degree or equivalent years of experience required.
• CRD experience is preferred.
• Fixed Income and Derivatives knowledge a plus.

Responsabilidades

• Interpret regulatory requirements into actionable monitoring controls and oversee trade activity and account reviews.
• Investigate and resolve potential compliance breaches, document conclusions, and recommend corrective actions.
• Participate in initiatives to improve workflows, ensuring regulatory and internal framework adherence.
• Provide risk-based compliance advice to internal stakeholders and maintain service-level standards.
• Keep abreast of regulatory changes and communicate impacts to the team.

Conhecimentos

Interpersonal skills

Communication

Problem solving

Teamwork

Organizational skills

Formação académica

Bachelor's degree or equivalent

Descrição da oferta de emprego

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.

#LI-JN1

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. Other components of our Total Rewards Package include:

• 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 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

Our compensation philosophy is to pay competitively for talent while ensuring equity across employees performing comparable work. We are committed to transparency - if you have questions about how we arrived at this range or what additional be