Compliance Officer

Dimensional Fund Advisors Charlotte , NC 28201

Posted 11 months ago

Note to applicants: Resumes are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot attach a resume at the time of your application, you will receive a follow up email asking you to attach your resume from a computer.

Job Description:

The Compliance Officer assists Compliance Leadership as a key contributor in the effective implementation, maintenance and administration of Dimensional's compliance programs. This position proactively works with a team of Compliance subject matter experts to identify and escalate compliance risk and achieve strong compliance results and ratings.

Responsibilities:

  • Provide knowledge of sales disclosures to meet compliance regulations (Investment Advisers Act of 1940, Investment Company Act of 1940, GIPS, SEC and FINRA regulations, etc.)

  • Manage marketing and communications content across multiple delivery channels (website and print sales material, research papers, client presentation materials and RFP responses, etc.) ensuring all materials and associated disclosures are in compliance with regulation

  • Manage resources for the Marketing and Sales Teams

  • Manage global jurisdictional marketing review process to meet regulatory requirements and firm policies; ensures all related FINRA filings are completed in a timely manner

  • Ensure compliance with regulations and controls by effectively managing a team of subject matter experts to examine and analyze records, reports, operating practices, and documentation

  • Conduct descriptive and/or diagnostic analysis to provide actionable insight derived from both internal and external data to enable Compliance to better understand, profile and enhance reporting requirements

  • Propose and implement advanced analytic solutions, including automation, to help mitigate regulatory risks

  • Manage the planning and execution of new processes and procedures regarding reporting requirements and other compliance related activities

  • Review reports, risk indicators, and red flags to identify and propose and implement corrective action

  • Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses.

  • Manage and lead compliance staff

  • May lead 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

  • Manage the continuing education program, develop and deliver the annual compliance meeting

  • Review and maintain compliance policies and procedures

  • Manage the effectiveness of existing employee compliance procedures

  • Recommend business process improvements; seek technology enhancements

Qualifications:

  • Bachelor's degree

  • 7+ years of professional experience in financial service industry within a compliance related field

  • 1+ years managing one or more direct report or leadership role related to compliance of various standards and obligations

  • Series 7 certification

  • Advanced knowledge of financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc...)

  • Proficiency/advanced experience 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

  • Advanced proficiency in the Microsoft Office suite

Preferred Qualifications:

  • Master's degree or post-graduate work in Finance, Accounting, Economics, Mathematics or Engineering

  • Relevant Professional Certifications

  • Series 24 or working towards Series 24 certification; must complete within 1 year in role

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 Officer

Dimensional Fund Advisors