David Smith
About David Smith
David Smith serves as the Chief Compliance Officer and Vice President of Eaton Vance Distributors, Inc., a position he has held since 2015. He has extensive experience in compliance roles across various financial institutions, including MFS Investment Management and John Hancock Life Insurance Company.
Current Position at Eaton Vance
David Smith serves as the Chief Compliance Officer and Vice President of Eaton Vance Distributors, Inc. He has held this position since 2015, contributing to the company's compliance framework and regulatory adherence for nine years. In this role, he oversees compliance policies and procedures, ensuring that the organization meets industry standards and regulatory requirements.
Previous Experience in Compliance
Prior to his current role, David Smith worked in various compliance positions. He was the Compliance Officer and Assistant Vice President at Eaton Vance from 2014 to 2015. Before that, he served as a Compliance Manager at MFS Investment Management from 2006 to 2011, where he managed compliance operations for five years. His earlier roles include Senior Compliance Advisor at Commonwealth Financial Network from 2001 to 2006 and Operations Compliance Specialist at John Hancock Life Insurance Company from 2000 to 2001.
Educational Background
David Smith studied at Saint Michael's College from 1986 to 1990, completing a four-year degree. This educational foundation has supported his career in compliance and regulatory affairs within the financial services industry.
Career Timeline
David Smith's career spans multiple organizations and roles within the compliance sector. He began as a Market Conduct Examiner at John Hancock Life Insurance Company from 1998 to 2000. He then transitioned to Operations Compliance Specialist at the same company for a year. Following this, he spent five years as a Senior Compliance Advisor at Commonwealth Financial Network before moving to MFS Investment Management. His tenure at Eaton Vance includes various roles, culminating in his current position since 2015.