Compliance Analyst- E-Discovery

Dimensional Fund Advisors Charlotte , NC 28201

Posted 3 months ago

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Job Description:

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.

Responsibilities:

  • 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

Qualifications:

  • Bachelor's degree

  • 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.


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Compliance Analyst- E-Discovery

Dimensional Fund Advisors