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Senior Compliance Analyst – Compliance Program Oversight

Eaton Vance Management Boston Full-Time
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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!

Basic Purpose:

The Senior Compliance Analyst – Compliance Program Oversight responsibilities include performing procedural and forensic testing to ensure compliance with federal securities laws.  The documenting of findings and recommendations, as well as preparing  compliance reports to the Eaton Vance and Calvert Fund Boards and Eaton Vance Senior Management.

Primary Responsibilities:

  • Assist various internal Departments and EVC subsidiaries in preparing and updating compliance procedures and controls.
  • Perform testing of compliance procedures and conduct forensic reviews of special subject areas, document findings and recommendations.
  • Make recommendations to improve compliance or operational processes and controls.
  • Document and prepare compliance procedures and controls in partnership with the EV Legal Department.
  • Prepare requested compliance-related materials as requested by third party firms for which EVM serves as sub-adviser or administrator.
  • Conduct surveillance; prepare and present compliance reports to Senior Management and Fund Boards.
  • Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement various enhancements to the compliance program.
  • Monitor effectiveness of policies and procedures and suggest changes as required.
  • Maintain a thorough and up-to-date understanding of regulations (e.g. SEC, CFTC, NFA, ERISA, state, foreign) governing the firm’s business through ongoing education and involvement with industry groups.
  • Continually identify ways to create, enhance, maintain and test compliance within the automated compliance systems.
  • Research issues and questions as necessary to provide compliant and reliable advice and direction to senior management and employees on compliance issues.
  • Ability to lead special compliance projects and working group initiatives.
  • Promote a culture of teamwork and collaboration across the compliance department.
  • Assist with evolving the compliance training program.
  • Proactively identify risk areas and implement solutions and enhancements.
  • Embrace and actively demonstrate the values and culture of Eaton Vance: Integrity; Teamwork; Creativity/Adaptability; Professionalism; Client Focus; Excellence.

Job Requirements:

  • Bachelor’s degree.
  • Regulatory or SRO experience a major plus.
  • (5+ years) of Investment Adviser Compliance or regulatory experience required (will consider audit or similar operational experience in financial services).
  • Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Understanding of on-site compliance testing for SEC Rules 206(4)-7 and 38a-1.
  • Demonstrated ability to maintain confidentiality of sensitive information.
  • Ability to identify and analyze complex global regulatory issues and their effect on the firm’s business.
  • Demonstrated ability to work effectively with a wide variety of individuals throughout the organization, including senior management and investment professionals.
  • Intuitive, energetic, and self-motivated with a high bias for action.
  • Excellent writing and research skills.
  • Excellent organizational, analytical skills and attention to detail.
  • Ability to work both independently and collaborate with other compliance team members and departments.
  • Ability to meet deadlines.
  • Computer skills including MS Office, Outlook and Excel.                                                                                                                                                                                       

This policy applies to Eaton Vance Corp. and all subsidiary companies (the “Company”).

The Company 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, pregnancy, parenthood, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service, gender, gender identity or expression, registered domestic partner status, domestic violence victim status, status with regard to public assistance, or any other characteristic protected by applicable federal, state or local laws.  Eaton Vance also prohibits discrimination based on the perception that a person 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 the Company, and prohibits unlawful discrimination by any employee of the Company, 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

 

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