Compliance Coordinator
At Parametric, we offer competitive salaries, generous benefits and opportunities for growth and development. We invite you to explore our available job opportunities listed below and look forward to having you become a part of our continued success!
General Description
Growing investment advisory firm seeks entry-level Compliance Coordinator with strong desire to learn and grow with the firm. Position involves both regular (daily, weekly, monthly, quarterly) compliance tasks and day-to-day support to Parametric’s Compliance team.
Primary Responsibilities
- Collection, review and maintenance of employee Compliance forms and personal account information in accordance with firm policies and procedures
- Coordinate the completion of numerous regular (monthly, quarterly and annual) client certifications, questionnaires and information requests
- Assist in the preparation of various state and federal agency regulatory filings, reports and registrations
- Participate in compliance testing of firm policies and procedures in accordance with SEC Rule 206(4)-7 and work with the applicable departments to revise, document and implement revisions
- Research and interpret industry rules and regulations and SEC no-action letters
- Develop comprehensive understanding of Star Compliance, the system used for monitoring employee personal trading activity
- Desire to obtain working understanding of regulations (e.g. SEC, 1940 Act, ERISA, state, foreign) governing Parametric's business through ongoing education and involvement with industry groups
- Assist Compliance Group on major projects and schedules
- Serve as Compliance team’s Business Continuity Team Lead and ensure team Business Continuity/DR plan is up-to-date
- Perform various administrative tasks for the CCO and other team members, including putting together PowerPoint presentations, drafting memos, tracking employee attendance for periodic trainings, etc.
Job Requirements
- Bachelor’s degree or equivalent combination of experience and education required
- 0-2 years of industry-related experience
- Strong computer skills: knowledge of Microsoft Office suite
- Strong eye for detail
- Good customer service skills; involves interaction with internal and external customers
- Strong desire to learn and take on new assignments that will progress a career in compliance
- Excellent communication skills—written and verbal
- Excellent organizational skills
- Must be able to work well independently and be a team player
- Ability to adapt to change in a dynamic and often fast-paced work environment
- Demonstrated ability to meet deadlines
- Demonstrated ability to maintain confidentiality of sensitive info
About
Parametric, headquartered in Seattle, WA, is a leading global asset management firm providing systematic, rules-based investment strategies and customized exposure management to institutions and individual investors around the world. We take an engineer’s approach to asset management - mathematical, pragmatic and testable. Parametric portfolio managers act as investment "engineers," creating portfolios with explicit risk and return targets and continually measuring and managing the impact of relevant costs. Our approaches are, at their roots, quantitative and rules-based. They evolve slowly, as they don’t require repeated tactical insights into valuations or market direction. Parametric is a majority-owned subsidiary of Eaton Vance Corp. and offers these capabilities through investment centers in Seattle, WA, Minneapolis, MN and Westport, CT.