Compliance Analyst

Notes to applicants:

• Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.

• Resumes and portfolios (when applicable) 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 include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer.

• Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply.

• The use of Artificial Intelligence during interviews and skill testing is prohibited, unless Dimensional Fund Advisors has authorized such use.

• If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.

Dimensional’s Compliance department is charged with the development and oversight of the firm’s compliance internal controls, policies, and procedures. Our global structure follows the sun, with compliance personnel established at each office to ensure compliance coverage around the clock.  We have a consultative approach that embeds compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Compliance teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines.

The Distribution Compliance team provides compliance support to the Global Client Group sales efforts, manages the Licensing and Registration program, administers the marketing and advertising compliance review program, and conducts surveillance and monitoring for the firm’s social media program. The Distribution Compliance team also provides support as needed for Department and firm projects.   

The Compliance Analyst assists in the day-to-day responsibilities and will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws. The Compliance Analyst will be responsible for L&R tasks associated with onboarding new employees, working with current employees seeking various securities licenses, updating regulatory databases with any new disclosures or information changes for licensed individuals, managing state registrations, and offboarding employees as they leave the firm or change their licensing status.

Responsibilities:

• Help manage and support social media expansion initiatives, including contributing to strategy, development, and implementation
• Track and escalate social media surveillance findings and assist with remediation efforts to address identified issues
• Help administer the licensing and registration program
• Provide support for licensing and registration day-to-day responsibilities
• Assist in preparing and coordinating annual training for employees and licensed individuals
• Assist with departmental compliance projects as assigned, such as annual compliance testing
• Provide general compliance support to the sales and marketing channels
• Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation

Qualifications:

• Bachelor’s degree or equivalent experience
• 3+ years of professional experience in the financial services industry
• Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
• Series 7 or working towards Series 7 preferred
• Technical and professional skills or knowledge of testing methodology, risk and controls analysis
• Strong oral and written communication skills
• Exceptional interpersonal and relationship management skills; ability to interact with all levels of employees
• Ability to operate and prioritize in a fast-moving & demanding environment and deal with complex situations
• Strong analytical mindset with an ability to synthesize data; detail oriented with a focus on quality results
• Sound professional judgment, analytical skills, and practicality. This includes the ability to gather information and synthesize it to identify problems, trends, and opportunities
• Ability to be self-guided and motivated, working to complete tasks thoroughly and requesting assistance if needed
• Ability to maintain confidentiality and data accuracy when handling sensitive information
• Proficiency with Microsoft Office Product Suite including but not limited to; Word, Teams, Excel, Power BI and Power Automate

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Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.

It is the policy of the Company to provide equal opportunity for all employees and applicants.  The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.