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Based in Austin or Charlotte, the Compliance Analyst will 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.
Perform annual global Compliance program review with team in accordance with SEC Rules 38a-1 and 206(4)-7, Canada NI 31-103, and global equivalents for Chief Compliance Officer review and presentation to Boards and senior management
Manage Compliance oversight of variety of client reporting, elevating appropriate items to Chief Compliance Officer
Develop process improvements in the client reporting processes
Identify, assess and respond to risks associated with producing and providing oversight of sub-advised client Board materials and/or client reports and requests (from separate accounts, ETFs and Mutual Fund shareholders, etc.) and support day-to-day activities
Coordinate client reporting and review from Compliance perspective in accordance with client contractual obligations
Prepare sub-advisory 15(c) reviews for contract renewals and certification process for Chief Compliance Officer sign-off
Create, update, and respond to RFP/DDQ requests signed by Chief Compliance Officer; accuracy critical
Write/develop SQL scripts to automate production of legal and regulatory client materials
Coordinate document production for global regulatory requests, exams, and audits
Maintain and provide recommendations for firm policies and procedures
Support the Compliance staff on various projects, initiatives, and responsibilities
Timely completion of projects and initiatives
Ability to service requests from multiple levels of the organization
Minimum two years compliance or audit\testing experience, or three years securities related experience
Bachelor's degree or equivalent experience
FINRA Series 7 a plus
Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules and other federal regulations or global equivalents
Team oriented - ability to apply analytical and decision-making skills in a collaborative environment
Familiarity with financial products such as mutual funds, ETFs, separate accounts, retirement and 529 plans
Strong analytical and quantitative problem-solving skills
Self-starter with the ability to work well in a fast-paced environment and capable of managing multiple projects and meeting deadlines
Exceptional attention to details
Excellent communication and interpersonal skills
Knowledge of SharePoint and SQL a plus
Strong knowledge of Excel and general computer skills with the ability to learn additional computer applications as needed
To ensure the safety and wellbeing of our employees during COVID-19, the majority of Dimensional's employees are currently working remotely. Firm leadership evaluates the situation on an ongoing basis as to when employees could return to our corporate offices.
It is the policy of the Company to provide equal employment opportunity for all applicants and employees. The Company does not unlawfully discriminate on the basis of race, color, religion, creed, sex, gender, gender identity, gender expression, national origin, age, disability, genetic information, ancestry, medical condition, marital status, covered veteran status, citizenship status, sexual orientation, or any other protected status. This policy applies to all areas of employment including recruitment, hiring, training, job assignment, promotion, compensation, benefits, transfer, discipline, termination, and social and recreational programs.
Dimensional Fund Advisors