Senior Communications Specialist for Regulatory Compliance
6 days ago
MFS Investment Management is seeking a skilled Senior Communications Specialist to join our Global Distribution Communication Oversight Team (GDCOT). This role will be responsible for monitoring and reviewing electronic communications of assigned employees to ensure compliance with FINRA, SEC, and internal guidelines. As a Registered Principal, you will approve materials according to FINRA and MFS Compliance procedures.
Key Responsibilities:
- Perform supervisory review of electronic communications to identify potential business practice issues or regulatory concerns.
- Evaluate communications against applicable guidelines, analyzing history and sources of information as needed.
- Escalate potential issues to senior management and recommend next course of action.
- Stay up-to-date with changes in internal and industry regulations, guidelines, policies, and issues impacting email content and distribution.
- Built relationships with department supervisors and communicate directly with them regarding policies and procedures.
- Assist in developing policies and procedures for selecting messages for review based on approved criteria.
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Regulatory Compliance Specialist
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Regulatory Compliance Specialist
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