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
Administration of the order management system, including rule creation, testing, and production enhancements
Review post-trade exceptions and escalate to front office staff and Compliance Officers when necessary
Design, refine and execute internal controls and corporate compliance procedures
Conduct surveillance and forensic testing of the front office compliance program in partnership with Compliance Officers
Maintain working knowledge of Investment Adviser's Act of 1940 and UCITS with respect to investment limitations
Convey complex regulatory and investment concepts to internal and external clients
Use SQL & CRIMS at a proficient level
Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation
Extract and compile data from various systems and sources; verify the accuracy and integrity of data
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
Identify, propose and implement advanced analytic solutions, including automation, to help mitigate regulatory risks
Research, analyze, and identify key data-driven insights and clearly articulate these insights in the form of actionable recommendations for Compliance
Design processes and draft procedures regarding reporting requirements and other compliance related activities
Review reports, risk indicators, and red flags to identify and propose corrective action
Manage departmental compliance projects as assigned, such as annual compliance testing
Requirements
Bachelor's degree in applicable business-related field
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
Ability to work independently to meet project requirements with minimal supervision
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
Preferred:
Continued post-graduate education or advanced degrees
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
#LI-Hybrid
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.
Benefits
Vision insurance
Additional Information
Job Description:
Dimensional's Compliance department establishes, oversees, and monitors the firm's processes and controls focused on compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements. The department's global structure, with personnel in each office, ensures accurate, results-oriented coverage around the clock. Compliance staff members are embedded within the groups they support, encouraging collaboration among teams and improving efficiency with real-time guidance.
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.
Dimensional · Austin