Compliance Officer - Canada Compliance Officer - Canada …

MFS Investment Management
in Toronto, ON, Canada
Permanent, Full time
Last application, 22 Oct 20
Competitive
MFS Investment Management
in Toronto, ON, Canada
Permanent, Full time
Last application, 22 Oct 20
Competitive
Compliance Officer - Canada
Whether you're an investment professional, an expert in sales or a technology specialist, you'll find a culture at MFS that supports you in doing what you do best. Our employees work together to reach better outcomes, always favoring the strongest idea over the strongest individual. We put people first and show 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.


Job Description In conjunction with the Distribution Compliance Officer - Americas, you will have overall responsibility for providing strategic and operational direction for MFS Investment Management Canada's Compliance Program. This includes establishing and maintaining all relevant components of the compliance program (e.g., compliance policies and procedures, compliance monitoring controls, education) for MFS Canada, and prioritizing initiatives, programs and actions to support the overall compliance program. Ensure that the compliance programs reflects unique aspects of operations, laws and regulations, cultural nuances and personnel practices within Canada.

Principal Responsibilities
Provide strategic and operational direction within the position's sphere of authority, to include:
  • Establish, maintain and implement a compliance program appropriate to MFS Canada and reflective of industry best practices, regulatory requirements/expectations, and emerging regulatory risk. Keep current with new regulatory requirements and ensure communication of best practices/new rules to appropriate staff within MFS. Develop and implement appropriate bench-marking tools to monitor MFS progress relative to industry trends and best practices.
  • Set priorities, in conjunction with the Distribution Compliance Officer - Americas, for regional compliance initiatives, programs and actions. Ensure these priorities are incorporated into global and local compliance programs, and communicated to compliance personnel, senior leaders and others.
  • Develop, maintain and foster continued awareness and cultural sensitivity to those unique aspects of operations, laws and regulations, and personnel practices within each office (i.e., Montreal, Toronto, Vancouver), and ensure that they are reflected in the compliance program.
  • Advise senior management, the MFS Canada Board, and the boards of directors/trustees of other MFS entities and funds on a regular basis with respect to regulatory obligations, developments and/or concerns and the adequacy of MFS Canada's compliance and anti-money laundering programs.
  • Advise, direct, develop and deliver compliance education based on the needs of MFS Canada.
  • Develop and maintain effective relationships with business partners, industry peers, trade associations, and, as appropriate, regulators. Interact and communicate frequently with senior management across MFS to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new business activities, and to provide a framework to enable well-informed business decisions relative to regulatory risks.
  • In conjunction with Legal, serve as point person on regulatory inquiries and/or investigations within sphere of operation.
  • Manage areas of responsibility in line with MFS' financial plan goals and objectives. Continually seek and implement new opportunities for improvement and enhancement.
Qualifications
  • Bachelor's degree or the equivalent combination of education and experience in the investment management industry. Master's degree preferred.
  • A minimum of 10 years of progressively responsible experience in investment management compliance, regulatory risk management, or similar oversight function. Prior experience working with a multinational, US-based corporation is also a plus.
  • Strong familiarity with Canadian securities and AML/ATF legislation.
  • Must meet the proficiency requirements, as set out in National Instrument 31-103, to be registered as a Chief Compliance Officer.
  • Strong partnership skills and the ability to collaborate with Legal and provide performance feedback as necessary. Must have demonstrated leadership skills and be able to implement, execute and exemplify MFS' business culture with limited supervision.
  • Must have an executive bearing, emotional stability and maturity, and the ability to command respect. Must have the ability to work independently in a senior management capacity.
  • Must have excellent project management and coordination skills, and that ability to implement new processes across an organization.
  • Excellent organization, presentation, and communication (verbal and written) skills are required. Must be fully fluent in English (speaking, reading and writing).
  • Travel, both regional and global, may be required.


MFS Investment Management Canada is committed to an inclusive and equitable workplace. We value the diversity of people, culture and ideas. MFS Investment Management Canada's equal opportunity and diversity practices draw upon highly talented and skilled people whose individual competencies and creativity are recognized and appreciated. We believe we must attract, develop, and retain the best and brightest individuals from all segments of the population in order to attain business objectives.
We are dedicated to providing accommodations for applicants with disabilities during the recruitment process. If you are contacted for an interview, please advise if you require accommodations, so your accessibility needs are met during the recruitment process.
We thank all applicants for their interest, however, only candidates selected for interviews will be contacted.




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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 talent_acquisition@mfs.com 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 ."
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