Sales and Advertising Compliance Analyst recruitment

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 marketing and advertising material for Eaton Vance business lines to ensure compliance with regulatory requirements.
  2. Monitor compliance and stay abreast of FINRA/SEC advertising regulations.
  3. Analyze the effect of product changes on sales and advertising materials, maintain list of changes and communicate to Eaton Vance business lines. 
  4. Provide guidance to business units related to advertising rules and regulations. 
  5. Assist with preparing and updating compliance procedures and manuals.
  6. Perform review of website, document and communicate results to Eaton Vance business lines.
  7. Provide guidance to business line as it relates to new product literature and use of social media.   

Job Requirements:

  1. BA/BS degree with Series 6 and 26.  Series 7 and 24 must be obtained within 6 months of employment.
  2. 3-5 years advertising review background
  3. In depth knowledge of  SEC/FINRA advertising rules.
  4. Product knowledge: open-end, closed-end mutual funds, separately managed accounts, offshore funds.  ETF background a plus.
  5. Strong communication skills.  The ability to interact with business lines professionally. 
  6. Ability to multi task and prioritize several projects and one time. 

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!