Investment Compliance Analyst

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.