Senior Compliance Analyst

Dimensional Fund Advisors • Austin, TX

3d • Hybrid

About The Position

Dimensional's Compliance department is charged with the development and oversight of the firm's compliance internal controls, policies, and procedures. Our global structure follows the sun, with compliance personnel established at each office to ensure compliance coverage around the clock. We have a consultative approach that embeds compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Compliance teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines. The Distribution Compliance team provides compliance support to the Global Client Group sales efforts, administers the marketing and advertising compliance review program, and conducts surveillance and monitoring for the firm's social media program. The Distribution Compliance team also provides support as needed for Department and firm projects. The Compliance Senior Analyst assists in the day-to-day transactions relating to compliance. The senior analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws.

Requirements

• Bachelor's degree or equivalent experience
• 5+ years of professional work experience; 2+ years in a compliance related field
• Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
• Series 7 preferred or must complete within 1 year in role
• Series 24 preferred
• Technical and professional skills or knowledge of testing methodology, risk, and controls analysis
• 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

• Review and analyze marketing and other firm communications and recommend proposed edits as needed
• Provide support for licensing and registration responsibilities
• Advise sales and marketing teams on compliance-related issues
• Maintain processes and procedures for licensing and registration, and program initiatives, ensuring compliance with regulatory standards and organizational goals
• Provide compliance support to sales channels and monitor supervisory activities
• Prepare, coordinate, and deliver annual compliance training, in collaboration with team
• Provide communications review and surveillance support for social media as necessary
• Assist with departmental compliance projects as assigned, such as annual compliance testing
• Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees