In 1924 MFS® established the first mutual fund to help make the US stock market more accessible to the average investor. Today, that commitment to investors remains evident in everything about the firm. At MFS® we hire talented individuals and allow them to work together. Office doors are always open, and everyone is on a first-name basis. We believe the best ideas emerge from a culture of collaboration.
Using discretion and judgment, monitors and reviews email of assigned employees to ensure the communications comply with FINRA, SEC and other regulatory and internal guidelines. Coordinates with Distribution Administration, Compliance and assigned business areas to address issues that may arise. As a Registered Principal, approves materials as required by the FINRA and internal MFS Compliance procedures.
Performs the compliance review of email and hard copy communications of assigned employees and/or departments, including department heads, with respect to all current FINRA, SEC and other pertinent regulatory requirements including MFS guidelines and procedures. Protects highly confidential nature of such communications.
Evaluates email communications against applicable guidelines for potential business practice issues or regulatory concerns. Analyzes history and other sources of information of potential issues. Performs further investigation and obtains additional detailed research by discussing and questioning the source(s) of the communication.
Identifies and escalates potential issues to Global Field Support, Compliance and/or assigned business areas as needed. Recommends next course of action to be taken on issue.
Keeps current with all changes in both internal and industry regulations, guidelines, policies and issues impacting the content, use and distribution of email communications.
Possesses working knowledge of each distribution unit and their specific business needs both internally and in the industry.
Assists with the development of policies and procedures for selecting messages for review based on approved criteria such as keyword searched and random sampling in conjunction with Compliance.
Communicates policies and procedures to assigned business areas.
Examines department workflow and makes recommendations on ways to increase efficiency while maintaining internal controls.
Assists with projects to ensure effective and efficient integration of department and corporate initiatives with new or existing workflows/processes to ensure applicable goals are met within regulatory, internal and other framework. Provides information planning, establishes project level scope, priorities and timelines.
Masters the use of applicable technology tools used in the review process.
Responsible daily for the management of Email Supervision tool.
Assists the Distribution Correspondence Manager in the development of reports and is also responsible for the monthly upkeep and analysis of these reports.
Manages specialized projects and performs additional duties as requested.
Bachelor's Degree or equivalent work experience.
A minimum of four to six years of industry experience. Email review experience preferred.
Position requires FINRA Series 7 and 24 registrations in accordance with MFS's licensing policy and knowledge of applicable FINRAguidelines required.
Excellent communication, interpersonal and decision-making skills. Ability to work independently and interact with all levels of the organization.
Demonstrated project management experience.
Experience working in an environment where controls and deadlines are required.
Strong computer skills. Ability to analyze technology issues and concerns.
Ability to function with a high degree of independence.
MFS Investment Management - 2 years ago
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Massachusetts Financial Services (aka MFS Investment Management) offers more than 50 mutual funds, as well as annuities, separately managed...