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Job Description Using specialist skill, discretion and judgment, the role-holder shall support the Compliance Officer -Lux to ensure MFS Investment Management (Lux) S.a.r.l. ("MFS Lux") complies with all applicable AML and compliance regulations and requirements Specifically, the role-holder shall be responsible for the execution of the compliance monitoring plan for MFS Lux. The role-holder shall also provide effective and enabling compliance advice and guidance to MIL Additionally the role-holder will be a key contact for AML queries.
PRINCIPAL RESPONSIBILITIES :
Using a full understanding of applicable rules and regulations, including EU and the CSSF and working with the other members of the Compliance team, perform the following responsibilities:
1. Execution of the Compliance Monitoring Plan and ensure it remains robust, effective and aligned to the priority risks of the business. 2. Produce relevant management information dashboard reports to provide guidance on the compliance health and risks of the business to the Compliance Officer-Lux and to management. 3. Assist in the preparation of regulatory filings. 4. Recommend, where appropriate, improvements to policies, processes and practices to ensure ongoing compliance. 5. Assist the Compliance Officer - Lux in performing periodic due diligence on delegates. 6. Research of regulatory issues and provide appropriate advice and guidance and advice to internal stakeholders to assist in achieving / maintaining compliant operations and processes.
1. Review AML-related escalations received from the Transfer Agent and provide a recommendation to the Compliance Officer - Lux 2. Monitor AML compliance, and liaise with the Transfer Agent State Street Bank Luxembourg / IFDS where appropriate 3. Advise on underlying client documentation required to put investor in good (regulatory) order 4. Act as primary contact for the MFS third-party transfer agent (State Street Bank Luxembourg / IFDS), MFS Offshore Funds Monitoring Group and the MFS International Limited Operations team 5. Participate in projects that involve interactions across MFS, address concerns, present solutions and identify ways to mitigate risk exposure
1. Actively review and monitor clients' investment guidelines and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, and Statement of Additional Information). 2. Review and analyze the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes. 3. Work with the London and Boston Team for coverage of the trading desk in Boston when needed. 4. The role-holder shall Assumes additional responsibilities as requested.
1. Investment Management compliance experience, Strong working knowledge of investment management operations and advisory functions. 2. In depth knowledge of regulatory requirements. 3. Strong writing, communication and influencing skills are essential. 4. Proven ability to operate independently taking ownership for the delivery of projects while also operating successfully in a cross-functional, often international, team environment is essential. 5. Excellent interpersonal, organizational, communication, customer-service, team- working and problem- solving skills. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner. 6. Understanding of the business operations and practices, procedures and controls specific to the business units supported is required. Must be fully aware of best practices and evolving issues within scope of the position and able to relate same to MFS' operations and practices. 7. Must be fully fluent in English (speaking, reading and writing), proficiency in French is a plus. 8. Good analytical skills. 9. Education to degree level and with relevant professional qualifications preferred.
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 firstname.lastname@example.org 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. " Click here to view the 'EEO is the Law' poster and supplement ."