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The Compliance Analyst works with the firm's compliance officers to evaluate, develop, maintain and oversee the firm's regulatory compliance programs, with a focus on electronic communications monitoring and compliance software analysis and implementation. The Compliance Analyst will be comfortable learning about and using technology to improve Compliance, and will assist the firm's eDiscovery Program Manager in the evaluation, development, oversight and support of eDiscovery and communication monitoring software. The Compliance Analyst will, with guidance from the supervisor, be responsible for electronic communications monitoring and analyzing, recommending and implementing software and process improvements.
Review of electronic communications, evaluate and improve queries
Assist with contract management system inquiries and responses for litigation and regulatory requests
Support various members of the Compliance staff on projects and initiatives
Assist with Compliance technology support and enhancements
Timely completion of projects and initiatives as required
Special projects as assigned
Manage daily responsibilities with utmost discretion
Compliance, eDiscovery, technology or securities related experience is helpful
Knowledge of investment management concepts, interest in financial services industry
Sound professional judgment, analytical skills, curiosity and practicality. This includes the ability to gather information and synthesize it to identify problems, trends, and opportunities.
Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules, litigation process, technology project management, eDiscovery best practices a plus
Team oriented ability to apply analytical and decision-making skills in a collaborative environment
Ability to work independently and meet critical deadlines
Exceptional verbal, written and listening skills
Proficient with Microsoft Office software suite
Able to quickly master new software applications
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