Senior Compliance Officer

Dimensional Fund Advisors•Austin, TX

2d•Hybrid

About The Position

The Senior Compliance Officer is responsible for managing the Global Code of Ethics and Standards of Conduct program by ensuring objectives are met with minimal impact to the organization. Standards of Conduct includes Outside Business Activities, Gifts and Entertainment, Political Contributions, and Personal Securities Transactions. The Senior Compliance Officer is a critical part of the Regulatory Compliance Group and will have direct and indirect supervision responsibilities related to FINRA Licensing and Annual Compliance Training.

Requirements

Bachelor’s degree
10+ years of professional in financial service industry within a compliance related field
Series 7 and 24 certifications
3+ years’ management/supervisory experience; willing to be hands-on through daily activities and give clear, constructive & actionable feedback to direct reports
Demonstrated success in developing & implementing process improvements, maximizing process efficiencies, and building relationships to understand commercial priorities
Proficient knowledge of financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
Project management skills, including systems integration of new technological platforms, re-engineering of business processes, end user systems application testing and integration, and issue tracking and resolution
Proficiency in compliance management systems
Technical and professional skills or knowledge of testing methodology, risk and controls analysis
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 maintain confidentiality and data accuracy when handling sensitive information
Proficient in the Microsoft Office suite

Nice To Haves

Relevant professional certifications, Master's degree or post-graduate work preferred

Responsibilities

Design and consultant with COO/DCCO on an enterprise-level compliance strategy that is aligned with global business needs
Develop deep relationships with internal clients and business partners; thoroughly understand needs and priorities and develop efficient strategies to ensure compliance
Lead a team of compliance professionals; establish clear goals to measure success of subordinates, monitor team’s performance, and coach and mentor employees to successfully achieve objectives
Interact with regulatory agencies, lead due diligence efforts and initiatives
Participate in financial industry and regulatory network; interface with senior management, C-Suite to perform compliance requirements, initiatives and due diligence efforts
Manage the planning and execution of new processes and procedures regarding reporting requirements and other compliance related activities
Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses.
Develop and oversee departmental compliance projects as assigned, such as annual compliance testing
Provide backup and support to the Vice President and other Senior Compliance personnel as needed
Oversee the licensing and registration programs to meet US and Canadian regulatory requirements and firm policies and ensures all related filings are completed in a timely manner
Oversee the NFA registration requirements and additional filings (CPO PQR, Self-Exam) for the National Futures Association (NFA)
Maintain relationship with FINRA staff and assigned coordinator and serves as point of contact for membership and registration issues
Oversee firm element training and ensures FINRA Continuing Education is completed in a timely manner to meet FINRA and firm policy requirements
Oversee supervisory programs (broker-dealer written supervisory procedures, CRS supervisory assignments, etc.)
Manage and deliver yearly training program to ensure employee awareness of licensing regulatory requirements and/or internal policies
Lead required internal regulatory related examinations and assists with external regulatory examinations
Monitor and test various platforms and workflows to ensure regulatory and internal requirements
Manage compliance related issues, independently evaluates situations, makes decisions and solves problems; escalate to senior leadership as necessary
Oversee the effectiveness of existing Employee Compliance procedures and make recommendations for business process improvements; seek technology needs to enhance the licensing and registration process
Maintain relationship with FINRA staff and/or assigned coordinator; serve as an alternate point of contact for membership and registration issues