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Job Details

Director Compliance

Company name
Parametric Portfolio Associates

Location
Seattle, WA, United States

Employment Type
Full-Time

Industry
Compliance

Posted on
Jan 13,2019

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Profile

General Description

Growing SEC registered Investment seeks Director of Compliance with significant senior experience in investment advisory compliance.  The Director of Compliance will be responsible for day to day management of a portion of the compliance program and manage one or more junior employees.    

Primary Responsibilities

  • Report directly to Firm’s Chief Compliance Officer (CCO).
  • Work directly with CCO and side-by-side with other senior compliance staff to partner with management, internal clients, and colleagues to accomplish objectives collaboratively. 
  • Manage a portion of Parametric’s investment advisor compliance program.
  • Support CCO by shouldering some of CCO’s and senior compliance team’s workload and oversight responsibilities.    

Day to day responsibility will depend on candidate’s specific experience, but will be responsible for managing or supporting one or more of the following areas:

  • Comprehensive testing of firm and employee’s compliance with policies and procedures
  • Advertising and Marketing Review
  • Drafting of policies and Procedures
  • Portfolio Compliance
  • Proactive Surveillance of firm investment activity
  • Testing of record retention processes
  • Ability to manage special projects necessitated by business expansion or regulatory developments
  • Anti-Money Laundering and OFAC reviews
  • Regulatory Filings and disclosures
  • Serve on Firm Committees
  • Work directly with senior management and investment teams to identify and resolve compliance issues
  • Perform compliance testing, record results and prepare reports
  • Lead major projects and drive enhancements for the compliance group


Job Requirements

  • Bachelor’s degree or equivalent combination of experience and education required
  • 10-15 years of securities industry-related experience, with the majority of it in investment advisory compliance
  • Previous management experience preferred
  • Thorough knowledge of the SEC and securities law, especially the Registered Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Knowledge of Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) regulations effecting Commodity Trading Advisors (CTAs) or Commodity Pool Operators (CPOs) a plus.
  • Ability to identify and analyze complex regulatory issues and their effect on the firm’s business
  • Working knowledge of on-site compliance testing for SEC Rules 206(4)-7 and 38a-1
  • Demonstrated ability to work effectively and independently with a wide variety of individuals throughout organization, including senior management and investment professionals.
  • Intuitive, energetic, and self-motivated
  • Excellent writing and research skills
  • Excellent organizational skills
  • Strong technical skills: knowledge of Microsoft Office suite
  • Previous experience with compliance modules of Charles River, Fidessa Sentinel, Alladin, or Bloomberg a plus but not required
  • Strong attention to detail
  • Good customer service skills; involves interaction with internal and external customers
  • Ability to adapt to change in a dynamic and often fast-paced work environment
  • Ability to meet deadlines
  • Demonstrated ability to maintain confidentiality of sensitive info


Contact Info:

Interested candidates should submit their resume online via the link below.

Location:

1918 Eighth Avenue, Suite 3100

Seattle, WA 98101.

Company info

Parametric Portfolio Associates

Company Profile
Parametric is a leading global asset management firm. We bring clarity and accessibility to investment science with solutions that deliver elevated, transparent, repeatable outcomes for institutions and wealth managers. At Parametric, we believe in doing a few key things really well. Our strategies apply scientific rigor and in-depth research to manage risk with a sharp focus on controlling costs. Our core competencies are in Better Beta, an improvement on existing passive options; Non-Traditional Alpha, a different take on key portfolio return drivers; and Efficient Implementation. Parametric is a majority-owned subsidiary of Eaton Vance Corp. and has offices in Seattle, WA, Minneapolis, MN, Westport, CT, Boston, MA and Sydney, Australia.

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