- Develop and maintain a comprehensive understanding of investment and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, and Statement of Additional Information).
- Review pre-trade alerts to ensure adherence to investment restrictions, mandates, and guidelines.
- Investigate and resolve any breaches or potential non-compliance issues, providing recommendations for corrective actions.
- Responsible for APAC regulatory reporting in particular Taiwan and Japan and working with global teams to resolve issues if the need arises.
- Monitor and maintain portfolio restriction lists in the trading systems and platforms.
- Be familiar with the investment compliance policies and procedures and provide recommendations for enhancements or process improvements.
- Assist in achieving priorities established by Compliance Officer, for compliance initiatives, programs, and actions, etc. Ensure that these priorities are incorporated into global compliance programs.
- Stay informed about regulatory changes, industry trends, and best practices relating to investment compliance, recommending appropriate actions to ensure continuous compliance.
- Assist Compliance Officer to develop and deliver education curricula for MFS' personnel based on MFS' needs, fostering a compliance-oriented culture within the organization.
- Assist in the development and maintenance of effective relationships with MFS' investment professionals and other senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new trading activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
- Assume additional responsibilities as needed.
- Bachelor's degree in finance, Business Administration, Law, or a related field.
- Minimum 5 years of experience in investment compliance within the financial services industry, preferably with exposure to asset management.
- Excellent knowledge of relevant regulatory frameworks and guidelines, particularly in the Singaporean financial industry (e.g., Securities and Futures Act, Financial Advisers Act).
- Sound understanding of different asset classes, investment strategies, and associated compliance risks.
- Strong analytical skills with the ability to interpret complex investment compliance requirements.
- Excellent written and verbal communication skills, including the ability to effectively communicate compliance matters to non-compliance stakeholders.
- Proactive and meticulous attention to detail, with the ability to identify potential compliance issues and propose appropriate solutions.
- Ability to thrive in a dynamic and fast-paced environment, handling multiple tasks simultaneously.
- Proficient in using compliance monitoring software and other relevant industry tools.
- Familiarity with investment systems and platforms (e.g., Charles River) is a plus.
- Ability to work collaboratively within a team and influence stakeholders.
Compliance Lead Specialist - Singapur, Singapore - MFS Investment Management
2 weeks ago
Description
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
This position will support the MFS compliance department globally across a wide range of compliance-related activities, provide critical investment compliance support in the APAC region and support MFS's globally integrated compliance program.
WHAT YOU WILL DO
Using in-depth knowledge of regulatory requirements relating to compliance in a global environment and by applying an understanding of client requirements and working directly with the global compliance team, perform the following responsibilities:
WHAT WE ARE LOOKING FOR
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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:
At MFS, we view our employees as family — and like you, we want our family happy and healthy. That's why we provide competitive benefits programs and family-friendly policies which support the work-life balance needs of our employees.
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- as part of their job responsibilities, unless MFS approves an exemption as an accommodation due to a medical condition. 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 --0 or email for assistance.