Compliance Lead Specialist

Roles & Responsibilities

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

Applying industry and regulatory understanding, the Compliance Lead Specialist supports the Investment Team (Portfolio Managers and Traders) by analyzing compliance issues from order entry through to trade execution (Fixed Income, Equity, and Derivative Products), ensuring a high level of service to the stake holders.

Interacts with MFS management to proactively monitor and resolve regulatory and compliance issues, with an emphasis on regional regulatory and legal frameworks.

Provides input and engagement to strategic projects and process improvements to help deliver on the department's strategic goals aligned to fixed income and derivative operations.

WHAT YOU WILL DO

• Review pre- and post-trade alerts to ensure adherence to investment restrictions, mandates, and guidelines.
  
• Develop and maintains a comprehensive understanding of investment and regulatory restrictions (e.g., Investment Management Agreement, Prospectus).
  
• Support Portfolio Managers and Traders with timely resolution and proactive communication.
  
• Apply understanding of fixed income, equity and derivative instruments to analyze impact to investment guidelines and regulatory requirements.
  
• Work with Compliance management to ensure that, within a specific part of the business, the organization's activities comply with all pertinent legal and regulatory requirements including those relating to regional APAC regulators as well as 40 Act, UCITs and NI-81-102.
  
• Monitor and maintain portfolio restriction lists in the trading systems and platforms.
  
• Develop, review and update procedures and controls within the group and assist management in ensuring compliance on an ongoing basis.
  
• Examine department workflow and makes recommendations on ways to increase efficiency through automation or other means while maintaining internal controls.
  
• Review reports and otherwise ensure the integrity of reports generated from the department.
  
• Provide training, guidance and support to Global Compliance Department on regional regulatory requirements relating to equity, fixed income and derivatives.
  
• Performs additional related responsibilities as required.
  

WHAT WE ARE LOOKING FOR

• Bachelor's degree or equivalent direct experience required.
  
• Minimum 5 years of experience in investment compliance within the financial services industry, preferably with exposure to asset management.
  
• Understanding of relevant regulatory frameworks and guidelines within APAC jurisdictions.
  
• Strong analytical skills with the ability to interpret complex investment compliance requirements incorporating fixed income, equity and derivative instruments.
  
• Ability to collaborate proactively with investment stakeholders and communicate compliance matters to non-compliance stakeholders.
  
• Ability to foster strong interpersonal relationships and to collaborate effectively in cross-functional and international teams throughout the organization.
  
• Proactive and meticulous attention to detail. Takes ownership and drive outcomes.
  
• Proficient in using investment compliance systems monitoring and other relevant industry tools.
  
• Proficiency in MS Office Suite and ability to develop proficiency in MFS systems as required.
  
• Able to work overtime as necessary to keep current with work.
  
• Some periodic travel, domestic and international, is required.
  

PREFERRED SKILLS, QUALIFICATIONS & EXPERIENCE

• Direct experience using CRIMS (Charles River Investment Management Solutions).
  
• Experience in supporting the onboarding new workflows, processes and systems to enhance operational effectiveness.

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 you are interested to apply for this job, please submit your job application at MFS Careers page: https://mfs.wd1.myworkdayjobs.com/MFS-Careers/job/Singapore/Compliance-Lead-Specialist_MFS-231188

Tell employers what skills you have

Asset Management
Derivatives
Analytical Skills
Collaborative
Internal Controls
Investment Management
Compliance
Fixed Income
Regulatory Requirements
Equities

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