Compliance Specialist

Mass Financial Services; Boston (MA); Sur place; USD 36 000 - 81 000; Plein temps

Avantages offerts par ce poste

Retirement match

Tuition reimbursement

Education assistance

Parental leave

Wellness program

Flexible spending

Résumé du poste

Mass Financial Services (MFS) is seeking a Compliance Specialist to help ensure adherence to local and international regulatory requirements. Working with management, you will escalate issues and support daily compliance tasks and projects.

You will assist in reviewing materials, drafting guidelines, monitoring rules, preparing reports, and communicating changes. A Bachelor’s degree and 0–2+ years’ experience are required, with strong written and verbal skills and MS Office proficiency.

Qualifications

• Bachelor's degree or equivalent.
• 0-2+ years of experience.
• Excellent interpersonal, organizational, communication, team-working and collaboration with your manager to problem solve.
• Ability to write effectively and present research, analysis and conclusions persuasively.
• Proficiency in MS Office and ability to learn MFS systems.

Responsabilités

• Assist in compliance review and approval of materials to ensure regulatory compliance.
• Assist in drafting new guidelines and procedures; contribute to monitoring procedures.
• Communicate guidelines and procedures and assist with implementation of changes.
• Maintain records in conformity with regulatory requirements.
• Support training and research; provide guidance to business partners as needed.
• Input data into compliance monitoring systems and report violations.
• Prepare periodic compliance reports (daily, monthly, quarterly).
• Respond to business inquiries and provide advice as required.
• Participate in cross-functional projects providing compliance input.

Connaissances

Interpersonal skills

Organizational skills

Team collaboration

Written communication

Problem solving

MS Office proficiency

Research ability

Formation

Bachelor's degree or equivalent

Outils

MS Office Suite

Description du poste

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 Specialist is responsible for ensuring compliance with applicable local and international regulatory requirements. With supervision, partners with MFS management to escalate compliance matters and to resolve regulatory and compliance issues. Assists in the completion of day-to-day tasks and other projects in alignment with compliance initiatives.

WHAT YOU WILL DO

• Assist the compliance review and approval of materials, ensuring materials comply with current applicable regulatory requirements.
• Assist in drafting new guidelines and procedures. Contribute to the on-going development of compliance manuals and compliance monitoring procedures.
• Assist with communicating guidelines and procedures to all applicable areas. Help communicate new regulatory developments and negotiate implementation of resulting changes in guidelines and procedures.
• Keep abreast of changes in regulatory rules, guidelines and interpretations to appropriate parties. Ensure that all records are maintained in conformity with regulatory form and retention requirements.
• Assist Senior Team Members with educating and informing business partners as necessary as to required revisions, new MFS policies, new regulations, etc. Assist the Compliance Lead Specialist with research, delivering of training and communications materials both within the Compliance Department and into the business that provide explanation and insight into a range of compliance issues as required.
• Input data into applicable compliance monitoring systems. Report compliance violations. Assist the team with restoring compliance restoration in an appropriate manner.
• Maintain and prepare periodic daily, monthly, and quarterly compliance reports as required.
• Respond to requests for assistance from the business, researching issues, providing advice and guidance as required.
• Participate within cross-functional projects providing compliance advice and input as required.
• Assume additional responsibilities as needed.

WHAT WE ARE LOOKING FOR

• Bachelor's degree or equivalent.
• 0-2+ years of experience.
• Excellent interpersonal, organizational, communication, team-working and collaboration with your manager to problem solve. Must be able to write effectively, and present research, analysis, and conclusions in a persuasive manner.
• Demonstrated ability to work effectively with employees and outside parties at all organizational levels.
• Analytical skills with the ability to make thoughtful decisions.
• Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in MFS systems as required to perform the duties of this position. Must be able to conduct on-line research and to utilize applicable tools.

PREFERRED SKILLS, QUALIFICATIONS & EXPERIENCE

• Prior experience in investment management, financial services or industry-related compliance preferred.
• Presentation skills and strong writing abilities are preferred.
• Understanding of the business operations and practices, procedures, and controls specific to the business units supported is required. Must be aware of best practices as well as evolving issues within scope of the position.

#LI-JN1

Base Salary Range: $55,500.00 - $80,500.00

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 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 fitn