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Trading Compliance Associate

MFS Investment Management
Boston, USA
Closing date
Jun 10, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

What you will be responsible for: The Trading Compliance Associate is responsible for verifying that MFS' global trading activities comply with applicable laws, rules and regulations, and reflect industry best practices. Responsibilities include developing policies and procedures for trading and trade operations (i.e., cross trading, trade aggregation and allocation, best execution, broker/venue selection, commission arrangements, soft dollars, trade error identification/resolution, ratings changes, trade and transaction reporting, and derivatives trading compliance). Monitoring adherence to those policies and procedures, educating relevant personal on their requirements communicating their requirements and reporting on their successful implementation to Trading Compliance Officer and other senior compliance department personnel.

Primary Responsibilities:
  • Supports Trading Compliance Officer by working in collaboration with MFS' Trading Department to ensure that MFS establishes, maintains and implements compliance policies and procedures remain appropriate to MFS' trading activities and reflective of industry best practices, regulatory requirements/expectations, and emerging risk.
  • Keep current with evolving marketplace dynamics, brokerage arrangements, trading patterns and approaches, and global regulatory requirements a.
  • Provide assistance to Trading Compliance Officer when providing direction and support for MFS' trading desk and portfolio managers to ensure that MFS' trading policies and procedures are understood and implemented effectively.
  • Assist in setting priorities established by Trading Compliance Officer, for compliance initiatives, programs and actions, etc. Ensure that these priorities are incorporated into global compliance programs.
  • Assist Trading Compliance Officer with to develop and deliver education curricula for MFS' trading personnel based on MFS' needs.
  • Assist in the development and maintenance of effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with MFS' investment professionals and other senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new trading activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
  • Assist in continually seeking and implementing new opportunities for improvement and enhancement.
  • Assume additional responsibilities as needed.


  • Bachelor's Degree or equivalent work experience.
  • At least 1-3 years work related experience. Working knowledge of fixed income and equity investment trading functions (buy side or sell side), and related rules, regulations and compliance requirements is preferred. Experience with MiFID II is a plus.
  • Familiarity with Charles River, trading and market data systems, including the use OMS, EMS, electronic trading venues and algorithms is a plus, but not required.
  • Familiarity with best execution concepts, including experience with relevant quantitative analysis is a plus, but not required.
  • Familiarity with conflicts of interest and compliance with firm-wide policies and applicable laws is a plus, but not required.
  • Excellent interpersonal, organizational, communication, team-working and problem-solving skills. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner. Must be polished, professional, mature, well-mannered and well-spoken.
  • Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for same and manage the implementation through to acceptance.
  • Able to work with Trading Compliance Officer to manage the delivery of projects while ensuring the cooperation and success of cross-functional teams, with both domestic and international team members. Assist in effectively driving solutions throughout the organization and present ideas in an effective, non-confrontational manner. Escalate issues, advocate for solutions and ensure implementation of same.
  • Excellent presentation skills are required are a plus. Will eventually be required to present comfortably before groups and to educate and persuade audience during these presentations.
  • Some periodic travel, domestic and international, may be required.



What we offer:

  • Generous time-off provided: including "Responsible time off" for many roles, paid company holidays when the US Stock Exchange is closed, plus paid volunteer time
  • Family Focus: Up to 20 weeks of paid leave for new parents, back-up care program, dependent care flexible spending account, adoption assistance, generous caregiver leave
  • Health and Welfare: Competitive medical, vision and dental plans, plus tax-free health savings accounts with company contributions
  • Wellness Programs: Robust wellness webinars, employee assistance program, gym reimbursement through our medical plans, fitness center discounts and more
  • Life & Disability Benefits: Company-paid basic life insurance and short-term disability
  • Financial Benefits: 401(k) savings plan, Defined Contribution plan- 15% of base salary invested into the Plan, competitive total compensation programs

MFS is a hybrid work environment (remote/onsite) unless otherwise stated in the job posting .

This position will require individuals to be fully vaccinated against COVID-19 as part of their job responsibilities, unless MFS approves an exemption as an accommodation due to a medical condition or sincerely held religious belief. Submission of an exemption request does not guarantee that an exemption will be approved or that the request can be accommodated.
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 for assistance.

MFS is an Affirmative Action and 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 EEO is the Law document and Pay Transparency Nondiscrimination Provision , linked for your reference.

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