Senior Compliance Specialist

By joining Eaton Vance, you’ll become part of a company that has one of the best employee retention rates in the financial services industry. We offer competitive salaries, generous benefits, and tremendous opportunities for growth and development. If you do not see a position that fits your career objectives, please return to this site in the future as our hiring needs will change. We look forward to your becoming a part of our continued success!

Primary Responsibilities:

  • Work with legal and portfolio management to interpret prospectus/SAI and investment guidelines to ensure proper coding of compliance restrictions into the Charles River Development system (“CRD”), Bloomberg AIM and similar systems.
  • Utilize investment compliance software or other applications to monitor compliance with prospectus or guideline restrictions.
  • Maintain and update inventory of compliance restrictions.
  • Responsible for oversight and maintenance of back-up investment compliance monitoring program for mutual funds, institutional, wrap and high net-worth accounts managed by Eaton Vance.
  • Work with legal and portfolio management to identify, interpret and cure compliance or data issues in a time sensitive manner.
  • Respond to compliance-related inquiries for portfolio or trading personnel.
  • Perform forensic and procedural testing of compliance procedures, document findings and prepare recommendations.
  • Monitor the adequacy of securities designated as collateral for derivative positions.
  • Prepare compliance-related reports for Senior Management.

Job Requirements:

  • BA/BS Degree. MBA or similar degree a plus
  • Minimum of five years of Investment Adviser Compliance experience
  • Experience in using an automated investment compliance system such as CRD, Bloomberg AIM and similar systems
  • Computer Skills – Microsoft Word, Outlook, Excel
  • Strong verbal and written communication skills
  • Strong organizational and analytical skills
  • Extraordinary attention to detail
  • Knowledge of the Advisers Act and Investment Company Act

Eaton Vance is an equal opportunity employer and is committed to providing a work environment that is free of discrimination and harassment. It does not discriminate against applicants or employees with respect to any terms or conditions of employment on account of race, color, religion, creed, national origin, ancestry, sex, sexual orientation, age, genetic information, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service status, gender, gender identity, registered domestic partner status, or any other characteristic protected by applicable federal, state or local laws. Eaton Vance also prohibits discrimination based on the perception that anyone has any of those characteristics or is associated with a person who has or is perceived as having any of those characteristics. This commitment applies to all persons involved in the operations of Eaton Vance, and prohibits unlawful discrimination by any employee of Eaton Vance, including supervisors and co-workers. All employment decisions shall be consistent with the principles of equal employment opportunity.

The information on this Web site is for U.S. residents only. The information on this Web site does not constitute an offer to sell, or a solicitation of an offer to purchase, securities in any jurisdiction to any person to whom it is not lawful to make such an offer. Eaton Vance does not provide tax or legal advice. Prospective investors should consult with a tax or legal advisor before making any investment decision. © Eaton Vance Management. All rights reserved. Two International Place, Boston, MA 02110

Source:https://eatonvance.wd5.myworkdayjobs.com/en-US/Professional/job/Massachusetts-Office/Senior-Compliance-Specialist_JR001355?source=Indeed.com