Senior Compliance Analyst | Net Impact

Senior Compliance Analyst

Eaton Vance

Basic Purpose:

Seeking an experienced compliance professional to join Eaton Vance’s advertising compliance team. Candidate will be responsible for reviewing marketing material for retail and institutional distribution channels.

Keys to success in this role include the ability to handle multiple tasks simultaneously, maintain strong organizational skills, demonstrate proactivity, provide accurate and direct practical advice in a timely fashion, and possess strong communication skills (both written and verbal).

Primary Responsibilities:

- Primary responsibility is to review marketing and advertising material for Eaton Vance business lines to ensure compliance with regulatory requirements.
- Analyze the effect of product changes on sales and advertising materials and communicate to Eaton Vance business units.
- Provide guidance to business units related to advertising rules and regulations including use of social media.
- Review and update advertising compliance-related policies and procedures.
- Monitor compliance and stay abreast of FINRA/SEC advertising regulations and assess the impact to sales literature.
- Promote a culture of teamwork and collaboration across the compliance department.
- Embrace and actively demonstrate the values and culture of Eaton Vance: Integrity; Teamwork; Creativity/Adaptability; Professionalism; Client Focus; Excellence.
- Collaborate on compliance team projects as necessary.

Job Requirements:

- Bachelor’s degree required.
- Series 7 and 24 required.
- Minimum 5+ year’s industry experience.
- Product knowledge: open-end funds, closed-end funds, separately managed accounts, offshore funds. Exchange-traded fund and private placement experience is a plus.
- Familiar with Investment Advisors Act (Rule 206(4)-1 and relevant no-action letters, GIPS advertising guidelines, ‘40 Act fund regulation, FINRA advertising rules (2210) and SEC Advertising Rules (i.e. 482, 34b-1).
- Excellent oral and written communications skills, organizational and time management skills, ability to collaborate with marketing and product groups.
- Ability to work independently but also in a group setting, multitask and prioritize projects.
- The ability to interact with and influence business associates at various levels.