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Compliance Specialist

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 Compliance Specialist will assist in the completion of day-to-day tasks and other projects involving Code of Ethics compliance initiatives.
Principal Responsibilities:
  • Support procedures of the Corporate Compliance group and the MFS Code of Ethics using knowledge of securities market and brokerage functions
  • Input data from broker statements into the code of Ethics systems .
  • Research and resolve data issues with brokers
  • Maintain and prepare periodic daily, monthly and quarterly COE compliance reports as required.
  • Communicate with employees regarding brokerage data and statement issues.
  • Reconcile broker accounts and data, identify anomalies and provide solutions.
  • Respond to employee questions over the phone, in person and in writing, interpreting and advising on policies as needed.
  • Generate ideas for process improvement and create efficiencies.
  • Develops and revises compliance procedures as needed.
  • Appropriately escalate issues promptly to manager(s).
  • Assume additional responsibilities as requested.


  • Bachelor's Degree or equivalent work experience. Must have at least 2 years of investment management, financial services or industry-related compliance experience.
  • Strong interpersonal, organizational, communication, customer-service, team-working and problem-solving skills.
  • Must be thorough, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy.
  • Must be able to work on multiple projects while meeting competing deadlines.
  • Demonstrated ability to work effectively with employees and outside parties at all organizational levels.
  • An aptitude and interest for analytical work .
  • Understanding of the business operations and practices, procedures and controls specific to the business units supported is required.
  • Presentation skills and strong writing abilities are preferred.
  • 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 research and to utilize applicable tools.



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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