Distribution Oversight Senior Specialist

4 weeks ago

Boston, United States MFS Investment Management 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.

THE ROLE

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 Solutions, 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.

WHAT YOU WILL DO
  • As a member of the Global Distribution Communication Oversight Team (GDCOT), performs the supervisory review of electronic communications of assigned employees and/or departments, including department supervisors, 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 electronic 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, and this role will review the financial payments for distribution
  • Identifies and escalates potential issues to Global Distribution Oversight Sr. Manager, 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. Builds relationships and communicates directly with department supervisors of distribution areas.
  • 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.
  • Meets with the sales supervisors and their teams to 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.
  • Master's the use of applicable technology tools used in the review process.
  • Responsible daily for the management of electronic communication Supervision tool.
  • Assists the Global Oversight Sr. 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.
WHAT WE ARE LOOKING FOR
  • Bachelor's Degree or equivalent work experience.
  • A minimum of two to five years of industry experience. Electronic communication review experience preferred.
  • Position requires FINRA registrations (Series 7 & 24) in accordance with MFS's licensing policy and knowledge of applicable FINRA guidelines 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.
  • Secondary language preferred for applicants in the U.S.
  • Ability to function with a high degree of independence.


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:
  • 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 .

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 Know Your Rights: Workplace Discrimination is Illegal document and Pay Transparency Nondiscrimination Provision , linked for your reference.

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