Licensing & Registration Analyst Job in Boston 02108, Massachusetts US

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.

 

Primary Responsibilities:

 

  1. Review licensing requirements and employee qualifications to ensure employees are licensed accordingly to sell Eaton Vance products and securities.

  2. Process employee U4 and U5s.  Update employee U4 as needed to reflect change in employee life events or disciplinary actions.  Ensure employee records are retained in accordance with regulatory requirements.

  3. Conduct fingerprinting and background checks for all new employees.  Evaluate disciplinary history and escalate potential issues to CCO.

  4. Ensure broker dealer’s Form BD and BRs are updated and current.  Ensure FINRA contact system is updated and current.  Ensure FINRA CRD account is funded.

  5. Notify employees of FINRA continuing education requirements.  Monitor to ensure employees schedule session and complete training within the required time period.

  6. Order and coordinate study exam materials. Notify employees of exam windows and policies.

  7. Maintain and update licensing and registration policy and procedures, forms and relevant documents. 

  8. Coordinate Outside Business Activity reporting and approval process.  Ensure proper documentation is in place and required approvals acquired.

  9. Assist Sales Practice Compliance Manager with additional department functions related to the firms email surveillance system, branch and non branch inspections and employee training. 

 

Job Requirements:

 

  1. 2+ years licensing and registration background. Strong knowledge of FINRA and Investment Adviser licensing requirements.

  2. Well versed with FINRA CRD system.

  3. BA/BS degree with a minimum of a Series 6 or 7.  Series 26/24 preferred.

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!

 

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