Compliance Associate
Eaton Vance - Seattle, WA

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Parametric is a Seattle-based investment management firm focused on the delivery of rules-based, risk-controlled investment strategies, including alpha-seeking equity, alternative and options strategies, as well as implementation services including customized equity, traditional overlay and centralized portfolio management. Parametric is a majority-owned subsidiary of Eaton Vance with investment centers in Seattle, WA, Minneapolis, MN and Westport, CT.

Parametric is a majority-owned subsidiary of Eaton Vance Corp., one of the world’s most dynamic global asset management companies.

General Description

Compliance team position responsible for compliance related functions for an SEC registered Investment Adviser.

Primary Responsibilities
  • Knowledge of the SEC Investment Advisers Act of 1940 is required. Some understanding of the Investment Company Act of 1940 and FINRA related rules p referred.
  • Prepare drafts of annual reports under Rule 206(4)-7, Rule 38(a)1, Rule 15(c) and other reporting documents.
  • Summarize Rules and or other research documents and create reports.
  • Prepare periodic regulatory related reports for filing with regulators and sending to clients.
  • Perform compliance testing, records research and prepare reports.
  • Review and amend Compliance Manual as directed or needed.
  • Assist CCO and team with various assignments and tasks as requested.
  • Draft various certificates, documents, questionnaires, procedures and letters
  • Act as a liaison between compliance and internal clients/colleagues to facilitate work and accomplish objectives in a collaborative effort
  • Pre-view quarterly updates of sales materials, including fact sheets, presentations, sales kits, questionnaires, RFPs and similar documents.
  • Perform administrative and other duties as requested/necessary.
Job Requirements
  • Bachelor’s Degree
  • 1-3 years experience
  • Develop, create, and edit complex documents, reports, white papers, graphs or forms from limited information with minimal guidance
  • Attention to detail, and check compliance forms, spreadsheets, performance data and financial illustrations for accuracy and appropriate use.
  • Ability to work independently and be team oriented
  • Excellent client (internal and external) service skills
  • Excellent organizational , writing and research skills
  • Deadline oriented with the ability to work under pressure
  • Computer skills including MS Office, Outlook and Excel

Eaton Vance - 17 months ago - save job - - block
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About this company
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A veritable supermarket of investing, Eaton Vance offers more than 100 mutual funds and manages investments for retail, high-net-worth,...