Chief Compliance Officer
Eaton Vance - London, OH

This job posting is no longer available on Eaton Vance. Find similar jobs: Chief Compliance Officer jobs - Eaton Vance jobs

Eaton Vance Corp. is one of the oldest investment management firms in the United States, with a history dating to 1924. Eaton Vance and its affiliates offer individuals and institutions a broad array of investment strategies and wealth management solutions. The Company’s long record of providing exemplary service and attractive returns through a variety of market conditions has made Eaton Vance the investment manager of choice for many of today’s most discerning investors.

Basic Purpose

Reporting to the Chief Legal Officer of EVM, parent company of Eaton Vance Management (International) Limited (hereafter EVMI) and the Head of EVMI. Responsibilities will include seeing to legal matters for EVMI, including contracts and regulatory matters (to include review of all marketing materials and disclosures), as well as all aspects of compliance management, including KYC, AML and related administration, to include all reporting to the FSA and to other regulatory authorities with jurisdiction over various affiliates of EVMI or funds distributed by EVMI (Korea, Singapore, Japan, Australia, etc.) with assistance from the legal department of the parent company. Responsibilities will also include the secretarial function (preparation of board materials for EVMI and EVMI (Asia) and assistance in preparation of materials for EVI (Ireland) Funds) and in foreign fund registration.

Primary Responsibilities

  • Liaise with our internal legal and compliance teams and our outsourcing partners, MMS, with respect to compliance monitoring and reporting regime, ensuring sounds controls and appropriate policies are in place.
  • Secretarial oversight and support of EVMI, EVMI (Asia) and the Eaton Vance International (Ireland) Fund boards.
  • Regulatory oversight with the FSA in the UK, MAS in Singapore, ASIC in Australia, FSMC in Korea, FAIS in South Africa and elsewhere as appropriate.
  • Responsibility for AML for EVMI & EVMIA .
  • Work cooperatively with all the legal department of the parent company as well as all members of EVMI to foster teamwork and to achieve team goals.
  • Work closely with the Eaton Vance Investment Management groups to ensure active support of compliance monitoring, control environment and management of business risk.
  • Review all marketing material, including presentations and RFP’s, used outside of the US and within the US by international personnel.

  • Job Requirements

  • UK qualified solicitor.
  • Minimum 4-6 years of solid post-qualification experience in law firm and/or financial services industry.
  • Company secretarial experience and FSA reporting experience preferred.
  • Excellent communication and presentation skills.
  • Ability to work well in a team-based environment with a variety of people at all levels within the organization.
  • Ability to multitask in an entrepreneurial environment.

  • 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!

    Eaton Vance - 2 years ago - save job
    About this company
    13 reviews
    A veritable supermarket of investing, Eaton Vance offers more than 100 mutual funds and manages investments for retail, high-net-worth,...