Investment Compliance Analyst

About the role

The Compliance Analyst at Dimensional is responsible for executing processes related to Compliance Oversight Programs, including controls and testing, monitoring and surveillance, and addressing compliance issues. This role requires a strong understanding of regulatory bodies and governing laws, as well as the ability to convey complex regulatory and investment concepts to internal and external clients.

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
• Administer 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
• 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
• Maintain confidentiality and data accuracy when handling sensitive information
• Proficient in the Microsoft Office suite

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

Benefits

Dimensional offers a variety of programs to take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.