Senior Fund Regulatory Specialist Senior Fund Regulatory Specialist …

Eaton Vance Investment Managers
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Not Specified
Eaton Vance Investment Managers
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Not Specified

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

To work collaboratively with other areas of the firm to complete required filings in compliance with applicable regulations for investment company clients and to prepare such filings for submission to the appropriate regulatory agency. 

Primary Responsibilities

  • Complete registration statements and amendments thereto, proxy statements, other required filings and documents included therein for investment company clients (“Filings”) that comply with prescribed regulatory requirements, including:
    -Solicit and review information from various departments for inclusion in Filings to ensure that it complies with and is responsive to prescribed requirements.
    -Establish and maintain schedules for all assigned Filings and manage workflow for timely completion thereof.  
    -Prepare drafts of assigned Filings for review and comment by various departments and incorporate comments as appropriate;
    -Analyze impact of product and operational changes on required disclosures and initiate actions needed to ensure they are appropriately reflected in assigned Filings in compliance with prescribed requirements.
  • Assist with the formation of new investment companies, including completing draft Filings and preparing related documents for Board approval.
  • Review materials (including shareholder reports and other documents) for other departments to ensure regulatory compliance.
  • Mentor and train junior Fund Regulatory Specialists and supervise their Filing activities as requested.

Job Requirements:

  • BA/BS or commensurate experience.
  • Minimum five years relevant paralegal experience.
  • Thorough knowledge of regulatory requirements applicable to Filings
  • Strong organizational skills and attention to detail and the ability to meet deadlines.
  • Team player with well-developed communication skills and ability to interact with various other departments.
  • Self motivated with ability to work independently.
  • Ability to multi-task and prioritize several projects at one time. 

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 or expression, 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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