Compliance Associate

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Compliance Associate
Duties: Providing strategic support to the Compliance Functions in the design, implementation and maintenance of the Compliance programs and related policies & procedures. Will have an active role in the development and implementation of enhancements to the overall Compliance Programs, handling inquiries from employees, conduction compliance tests and monitoring to ensure compliance with SEC Transfer Agent Regulations, as well as performing other duties as required and participating in special projects as deemed necessary by the Chief Compliance Office (CCO). Assist the CCO and Compliance team in their efforts to ensure the company remains in compliance with established policies and procedures, applicable SEC laws, rules, and regulations related to the company’s activities; which include: Conduct ongoing testing and monitoring to ensure compliance with relevant TA regulations including SEC Rules 17Ad-1through 17Ad-20 under the 34 Act. Assists with the development of Compliance Risk Assessments, the Annual Compliance Training Plan, as well as the distribution and tracking of such training. Assist in the administration of the Code of Ethics Program, including: Gifts and Entertainment, Employee Training, Conflicts of Interests, Control Room, and Employee Certifications/Acknowledgements. Assist with the development of reports and provide periodic updates regarding the Compliance Program, results of testing & monitoring and other matters to the CCO, Senior Management, and the Risk & Compliance Committee. Provide support with MFS Compliance policy and procedure development and maintenance. Performs other duties as required and participates in special projects as deemed necessary and appropriate by the Senior Management.

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