Compliance Analyst - Code of Ethics

Dimensional Fund Advisors • Charlotte, NC

50d • Hybrid

About The Position

Dimensional's Compliance department develops and oversees the firm's compliance controls, policies, and procedures. Our global structure, with personnel established in each office, ensures coverage around the clock. Our consultative approach embeds Compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Our teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements. The Compliance Analyst is responsible for 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. This position will also assist with the management of the Global Code of Ethics and Standards of Conduct program (including Outside Business Activities, Gifts and Entertainment, Political Activities, and Pay to Play monitoring).

Requirements

• Bachelor's degree or equivalent work experience
• 3+ years of professional experience in financial service industry within a compliance related field
• Ability to obtain FINRA SIE and Series 7 within one year of starting
• Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
• Strong working knowledge of investment management operations and advisory functions
• Strong oral and written communication skills
• Exceptional interpersonal and relationship management skills; ability to interact with all levels of employees
• Ability to operate and prioritize in a fast-moving & demanding environment and deal with complex situations
• Strong analytical mindset with an ability to synthesize data; detail oriented with a focus on quality results
• Ability to be self-guided and motivated, working to complete tasks thoroughly and requesting assistance if needed
• Ability to maintain confidentiality and data accuracy when handling sensitive information
• Proficiency with Microsoft Office Product Suite

Responsibilities

• 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, identify key data-driven insights
• Create 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
• Assist with departmental compliance projects as assigned, such as annual compliance testing
• Conduct monitoring activities within the Global Code of Ethics and Standards of Conduct program (Gifts & Entertainment, personal trading, political contributions)
• Develop, maintain and conduct training and orientation programs to ensure employees are aware of their obligations under applicable regulatory requirements and/or internal policies
• Monitor employee personal trading practices to evaluate employee adherence to the firm's trading policies including proper pre-clearance, recording and reporting of transactions; responsible for identification of and initial follow up in connection with any potential violations and recommend appropriate action
• Perform exception report reviews related to client excessive trading and suspicious activity which may be an indication of client fraud or money laundering
• Assist with the development, implementation, and ongoing oversight of policies and procedures such as anti-money laundering, cybersecurity, trade errors, and completion of regulatory filings
• Assist with managing internal website documenting oversight of key service providers
• Attend due diligence calls; assist with preparing and editing reports of on-site due diligence visits

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Funds, Trusts, and Other Financial Vehicles