Dimensional

Investment Compliance Analyst

Austin

Sponsorship not specifiedDetected 28 days ago

SQLComplianceVendor ManagementResearchCommunicationCollaborationPublic SpeakingMicrosoft OfficeInternal AuditCFA

About the role

The department's global structure, with personnel in each office, ensures accurate, results-oriented coverage around the clock.
The Compliance Analyst is responsible for the execution of processes relating to Compliance Oversight Programs including controls and testing, monitoring and surveillance and other compliance issues.
The Compliance Analyst will act a steward of Dimensional and plays a vital role in ensuring compliance with all regulatory bodies and governing laws.

Provide pre- & post- trade compliance support to Portfolio Management and Trading staff
Extract and review investment guideline coding from prospectuses, SAI's, investment management agreements, and other contractual constituent documents
Design, refine and execute internal controls and corporate compliance procedures
Maintain working knowledge of Investment Adviser's Act of 1940 and UCITS with respect to investment limitations
Identify, propose and implement advanced analytic solutions, including automation, to help mitigate regulatory risks
Design processes and draft procedures regarding reporting requirements and other compliance related activities
Compliance staff members are embedded within the groups they support, encouraging collaboration among teams and improving efficiency with real-time guidance.

Bachelor's degree in applicable business-related field
Ability to impact and influence others across the organization
Strong analytical mindset with an ability to synthesize data
Ability to work independently to meet project requirements with minimal supervision
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
Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
Ability to maintain confidentiality and data accuracy when handling sensitive information
Proficient in the Microsoft Office suite
This role is not eligible for immigration sponsorship

Professional Certifications (CRCM, CFA, etc.)
Series 7 or working towards Series 7 certification
must complete within 1 year in role
Experience or knowledge in execution of operational, financial, regulatory, related audits
Experience with Charles River or other order management systems
Experience or knowledge with third party vendor management of back office or middle office functions

Manage departmental compliance projects as assigned, such as annual compliance testing

This listing is sourced directly from Dimensional's careers page and normalized into a canonical job model.