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Compliance Analyst

Expired Job

Eaton Vance Boston , MA 02298

Posted 4 months ago

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:

Corporate Regulatory Reporting Specialist needed to provide general support for Corporate Legal Counsels and Compliance, as well as to assume responsibility for various regulatory reporting matters within the Legal and Compliance Department.

Primary Responsibilities:

  • Liaise and consolidate regulatory reporting to the FCA/MAS/FSA/BaFIN with materials and information from Compliance and Finance to file within appropriate timeframes.

  • Front Office trade surveillance and reporting to Compliance

  • Review and monitor trade reporting as required under EMIR and MIFID II

  • Monitoring of Best execution, primarily using BTCA while working closely with the trading teams.

  • Production of RTS 28 Reporting liaison with IT and the investment teams

  • Production of Trade Execution and Research Reports - Liaison with the investment teams and operations teams

  • Oversight of the overall MiFID transaction-related costs and charges process (EMT/EPT/Ex ante and Ex post reporting) including third party service providers:

o Maintain the administrative attributes of a third party system asset class designations, default parameters (thresholds, tolerances, default selections, arrival price source cascades etc.)

o Work alongside the appointed IT resource to get required data from applicable subsidiaries

o Monitor the weekly transaction load process and clear all exceptions in a timely manner

o Review and get approval for the use of the current fixed spreads

o Implement a monitoring program using sampling with the assistance of expertise across the firm (Performance Group, Fund Admin)

  • Relationship oversight with German KVG/ Swiss and German investor reporting

  • Oversight of transaction processing by third party service providers

  • Onboarding of Brokers liaison with the legal team and investment operations team Ongoing Due Diligence on brokers

Job Requirements:

  • Bachelor's degree required

  • 5-7 years' related experience

  • Understanding of business sufficiently to complete surveillance reviews

  • Demonstrated application of FCA rules and regulations

  • Appropriate financial services industry compliance qualifications

  • General knowledge of FCA Rulebooks and Financial Crime Instrument

  • Good knowledge of the structure and nature of MiFID and MiFID II

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, 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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Compliance Analyst

Expired Job

Eaton Vance