Sr. Email Communications Specialist

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Job description

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 Using discretion and judgment, you will monitor and review electronic communications for assigned distribution employees to ensure the communications comply with FINRA, SEC and other regulatory and internal guidelines. In addition, you will also coordinate with Distribution, Compliance and assigned business areas to address issues that may arise. As a Registered Principal, the Senior Email Communications Specialist approves communications as required by the FINRA and internal MFS Compliance procedures.

Principal Responsibilities

• As a member of the Global Distribution Communication Oversight Team (GDCOT), perform the supervisory review of electronic communications of assigned employees and/or departments, including department supervisors, with respect to all current FINRA, SEC and other pertinent regulatory requirements including MFS guidelines and procedures. Protect highly confidential nature of such communications.
  
• Evaluate electronic communications against applicable guidelines for potential business practice issues or regulatory concerns. Analyze history and other sources of information of potential issues. Perform further investigation and obtain additional detailed research by discussing and questioning the source(s) of the communication.
  
• Identify and escalate potential issues to Distribution Oversight Supervisor, Compliance and/or assigned business areas as needed. Recommends next course of action to be taken on issue
  
• Keeps current with all changes in both internal and industry regulations, guidelines, policies and issues impacting the content, use and distribution of electronic communications.
  
• Possesses working knowledge of each distribution unit and their specific business needs both internally and in the industry. Build relationships and communicate directly with department supervisors of distribution areas, as well as senior members of Distribution Solutions and/or Compliance.
  
• Assist with the development of policies and procedures for selecting messages for review based on approved criteria such as keyword searched and random sampling in conjunction with Compliance.
  
• Take ownership of procedures and key controls. Communicate policies and procedures to assigned business areas. Communicate new regulatory developments pertaining to electronic communication use to assigned business areas and personnel in conjunction with Compliance.
  
• Examine department workflows and makes recommendations on ways to increase efficiency while maintaining internal controls.
  
• Lead projects to ensure effective and efficient integration of department and corporate initiatives with new or existing workflows/processes to ensure applicable goals are met within regulatory, internal and other framework. Provides information planning, establishes project level scope, priorities, and timelines.
  
• Assist in preparing responses to requests for information regarding electronic communications in conjunctions with Compliance. Assist in developing and distributing reports to demonstrate compliance with electronic communication review requirements and highlights trends in content reviewed.
  
• Master the use of applicable technology tools used in the review process.
  
• Provide electronic communication-related training to sales and marketing personnel related to areas of responsibility. Assist the Senior Manager with overall continuing education with respect to electronic communications.
  
• Manage specialized projects and perform additional duties as requested.
  

Qualifications

• Bachelor's Degree with a minimum of five years of financial services/asset management industry experience. Electronic and/or advertising review experience preferred.
  
• Position requires FINRA Series 7 and 24 registrations in accordance with MFS' licensing policy and knowledge of applicable FINRA guidelines required.
  
• Excellent communication, interpersonal and decision-making skills. Ability to work independently and interact with all levels of the organization.
  
• Demonstrated project management experience.
  
• Experience working in an environment where controls and deadlines are required.
  
• Strong computer skills. Ability to analyze technology issues and concerns.
  
• Ability to function with a high degree of independence.
  
• Fluency in multiple languages is a plus.
  

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