What are the responsibilities and job description for the Compliance Officer position at TalentAlly?
THE ROLE
The Compliance Officer will be responsible for the standardization, oversight and reporting of the Compliance monitoring, testing and surveillance framework. The person interacts with and provides consultation to Compliance staff and senior management and collaborates with functional leaders across Investments, Distribution, Investment Operations, Technology, Legal and Compliance.
What You Will Do
WHAT WE ARE LOOKING FOR
PDN-9e614100-5bd6-46e2-b3c2-60937d673376
The Compliance Officer will be responsible for the standardization, oversight and reporting of the Compliance monitoring, testing and surveillance framework. The person interacts with and provides consultation to Compliance staff and senior management and collaborates with functional leaders across Investments, Distribution, Investment Operations, Technology, Legal and Compliance.
What You Will Do
- Manages and oversees complex, strategic projects and significant regulatory initiatives.
- Develops and maintains effective relationships with business partners, industry peers, trade associations. Interact and communicate frequently with internal business partners and senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
- Reviews and disseminates management reports, metrics, and other reporting as needed.
- Keeps current with evolving marketplace dynamics and global regulatory requirements, as well as emerging technology. Continually seek and implement new opportunities for improvement, efficiency and enhancement of the program.
- Establishes, implements and maintains global compliance policies and procedures appropriate to MFS and reflective of industry best practices, regulatory requirements/expectations, and emerging risk.
WHAT WE ARE LOOKING FOR
- 8-12 years of compliance experience.
- Bachelor's Degree required.
- Thorough understanding of regulatory requirements relating to compliance business area for both US and internal jurisdictions
- Extensive monitoring, surveillance and testing background
- Excellent interpersonal, organizational, communication, team-working and problem-solving skills.
- Demonstrated project management skills and the ability to analyze operational effectiveness. Must effectively drive solutions throughout the organization and present ideas clearly.
- Ability to exercise judgment, pursue initiatives and implement changes necessary to align functional area with the strategic/long-term goals of the Compliance Department.
- Thorough understanding of the business operations and practices, procedures, and controls specific to the business units supported is required as is the ability to apply same to compliance-related dealings with the business units supported. 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.
- Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to effectively represent Compliance with industry peers and in client-facing situations is required.
- Proficient in the use of compliance systems
PDN-9e614100-5bd6-46e2-b3c2-60937d673376
