Job Description
Job Description:
Dimensional's Compliance department establishes, oversees, and monitors the firm's processes and controls focused on compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements. The department's global structure, with personnel in each office, ensures accurate, results-oriented coverage around the clock. Compliance staff members are embedded within the groups they support, encouraging collaboration among teams and improving efficiency with real-time guidance. The Compliance Analyst is responsible for the execution of processes relating to Compliance Oversight Programs including controls and testing, monitoring and surveillance and other compliance issues. The Compliance Analyst will act a steward of Dimensional and plays a vital role in ensuring compliance with all regulatory bodies and governing laws. Responsibilities:
Provide pre- & post- trade compliance support to Portfolio Management and Trading staff Extract and review investment guideline coding from prospectuses, SAI's, investment management agreements, and other contractual constituent documents Administration of the order management system, including rule creation, testing, and production enhancements Review post-trade exceptions and escalate to front office staff and Compliance Officers when necessary Design, refine and execute internal controls and corporate compliance procedures Conduct surveillance and forensic testing of the front office compliance program in partnership with Compliance Officers Maintain working knowledge of Investment Adviser's Act of 1940 and UCITS with respect to investment limitations Convey complex regulatory and investment concepts to internal and external clients Use SQL & CRIMS
at a proficient level Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation Extract and compile data from various systems and sources; verify the accuracy and integrity of data Conduct descriptive and/or diagnostic analysis to provide actionable insight derived from both internal and external data to enable Compliance to better understand, profile and enhance reporting requirements Identify, propose and implement advanced analytic solutions, including automation, to help mitigate regulatory risks Research, analyze, and identify key data-driven insights and clearly articulate these insights in the form of actionable recommendations for Compliance Design processes and draft procedures regarding reporting requirements and other compliance related activities Review reports, risk indicators, and red flags to identify and propose corrective action Manage departmental compliance projects as assigned, such as annual compliance testing Qualifications:
Bachelor's degree in applicable business-related field Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner Strong relationship building skills and an ability to work well in a team environment, both locally and globally Ability to impact and influence others across the organization Strong analytical mindset with an ability to synthesize data Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines Ability to work independently to meet project requirements with minimal supervision Ability to maintain confidentiality and data accuracy when handling sensitive information Proficient in the Microsoft Office suite This role is not eligible for immigration sponsorship Preferred:
Continued post-graduate education or advanced degrees Professional Certifications (CRCM, CFA, etc.) Series 7 or working towards Series 7 certification; must complete within 1 year in role Experience or knowledge in execution of operational, financial, regulatory, related audits Experience with Charles River or other order management systems Experience or knowledge with third party vendor management of back office or middle office functions #LI-Hybrid Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth. It is the policy of the Company to provide equal opportunity for all employees and applicants. The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates. At Dimensional, we want to change the way the world thinks about investing. As a leading global investment firm, we offer systematic, value-added investment solutions based on robust science and thoughtful implementation. Our global team includes more than 1,600 passionate people with diverse experiences, education, strengths, and talents. With a learning mindset rooted in academia and powered by the great ideas in finance, we pursue what we believe are the strongest investment solutions, while providing a world-class client experience. Every employee plays a role in delivering these experiences, and we know we can achieve the most when we work as a team to endeavor to help improve investors' lives. For more information about Dimensional and our current opportunities, please visit our Careers site. Dimensional Fund Advisors LP is an investment advisor registered with the Securities and Exchange Commission. Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role. Resumes and portfolios (when applicable) are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer. Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply. The use of Artificial Intelligence during interviews and skill testing is prohibited, unless Dimensional Fund Advisors has authorized such use. If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.
