Senior Compliance Analyst

Dimensional • Charlotte, NC

4d • Hybrid

About The Position

Dimensional’s Compliance and Risk Department is responsible for navigating risk and managing regulatory environments around the globe, including helping the firm conduct business and tell its story while remaining compliant with industry laws and standards. We help oversee the process to identify, assess, and implement controls for key risks before they materialize. Team members work in consultation with other areas of the firm and are committed to quality and accuracy in all that they do. The team is empowered to identify underlying patterns that impact the firm and provide forward-looking solutions. The Distribution Compliance team provides compliance support to the Global Client Group, oversees the compliance policy repository, and facilitates the review, production, and submission of records pertaining to regulatory requests. The team focuses on marketing and advertising compliance, client reporting and requests for proposals, as well as management reporting. They play an important role in executing business compliance matters by providing evaluation, development, maintenance, testing, and monitoring of regulatory compliance programs and related client reporting. This position works closely with Compliance, Risk, and Legal colleagues, and business representatives across the firm including the Global Client Group. The Senior Compliance Analyst assists in the day-to-day transactions relating to compliance. The analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws.

Requirements

• Bachelor’s degree
• 5+ years of professional work experience; 2+ years in a compliance related field
• Understanding of the financial services industry and experience applying marketing and advertising rules and regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)
• Exceptional interpersonal and relationship management skills; ability to interact with all levels of employees
• Strong oral and written communication skills
• Ability to operate and prioritize in a fast-moving & demanding environment and deal with complex situations
• Technical and professional skills or knowledge of testing methodology, risk and controls analysis
• 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

Nice To Haves

• Series 7 and Series 24 or working towards Series 24 preferred; must complete within 1 years in role

Responsibilities

• Analyze marketing and firm communications across multiple delivery channels (website and print sales material, research papers, client presentation materials and RFP responses, etc.) ensuring all materials and associated disclosures are in compliance with applicable regulation and policies. When needed, propose edits to ensure compliance.
• Collaborate with marketing and investment product staff by providing guidance and feedback for planned marketing materials, webcast content, and conference presentations.
• Provide communications review and surveillance support for social media
• Advise sales and marketing teams on compliance-related issues
• Assist with departmental compliance projects as assigned, such as annual compliance testing, supporting new product launches, and creating processes and drafting procedures for compliance related activities.
• Provide general compliance support to the sales channels
• Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation
• Administer compliance software used by Distribution Compliance team
• Help coordinate and conduct Compliance training

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: Mid Level