Dimensional Fund Advisors
Compliance Analyst - Code of Ethics
Dimensional Fund Advisors, Charlotte, North Carolina, United States, 28245
Join to apply for the
Compliance Analyst - Code of Ethics
role at
Dimensional Fund Advisors .
Work Environment Dimensional values collaboration in our offices and the benefits of flexibility. Most roles follow an office-first hybrid approach: we gather on campus Tuesdays, Wednesdays, and Thursdays, while Monday and Friday allow work in the office or remotely, depending on what is best for the work day.
Notes to Applicants Resumes and portfolios (when applicable) are required as part of your application. If you cannot attach a resume on a mobile device or tablet, you will receive a follow‑up email asking you to attach your resume from a computer. The use of Artificial Intelligence during interviews and skill testing is prohibited unless Dimensional Fund Advisors has authorized such use. We strive to be an inclusive workplace; even if you do not match every qualification, we encourage you to apply. If you require reasonable accommodation, such accommodation is available upon request.
Job Description Dimensional’s Compliance department develops and oversees the firm’s compliance controls, policies, and procedures. Our global structure ensures coverage around the clock. Our consultative approach embeds Compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real‑time guidance. Our teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client‑directed guidelines; and contractual agreements.
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 Analyst acts as a steward of Dimensional and plays a vital role in ensuring compliance with all regulatory bodies and governing laws. This position will also assist with the management of the Global Code of Ethics and Standards of Conduct program (including Outside Business Activities, Gifts & Entertainment, Political Activities, and Pay‑to‑Play monitoring).
Responsibilities
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, identify key data‑driven insights.
Create 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.
Assist with departmental compliance projects as assigned, such as annual compliance testing.
Conduct monitoring activities within the Global Code of Ethics and Standards of Conduct program (Gifts & Entertainment, personal trading, political contributions).
Develop, maintain and conduct training and orientation programs to ensure employees are aware of their obligations under applicable regulatory requirements and/or internal policies.
Monitor employee personal trading practices to evaluate employee adherence to the firm’s trading policies including proper pre‑clearance, recording and reporting of transactions; responsible for identification of and initial follow‑up in connection with any potential violations and recommend appropriate action.
Perform exception report reviews related to client excessive trading and suspicious activity which may indicate client fraud or money laundering.
Assist with the development, implementation, and ongoing oversight of policies and procedures such as anti‑money laundering, cybersecurity, trade errors, and completion of regulatory filings.
Assist with managing internal website documenting oversight of key service providers.
Attend due diligence calls; assist with preparing and editing reports of on‑site due diligence visits.
Qualifications
Bachelor’s degree or equivalent work experience.
3+ years of professional experience in the financial service industry within a compliance‑related field.
Ability to obtain FINRA SIE and Series 7 within one year of starting.
Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.).
Strong working knowledge of investment management operations and advisory functions.
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.
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.
EEO Statement 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.
#J-18808-Ljbffr
Compliance Analyst - Code of Ethics
role at
Dimensional Fund Advisors .
Work Environment Dimensional values collaboration in our offices and the benefits of flexibility. Most roles follow an office-first hybrid approach: we gather on campus Tuesdays, Wednesdays, and Thursdays, while Monday and Friday allow work in the office or remotely, depending on what is best for the work day.
Notes to Applicants Resumes and portfolios (when applicable) are required as part of your application. If you cannot attach a resume on a mobile device or tablet, you will receive a follow‑up email asking you to attach your resume from a computer. The use of Artificial Intelligence during interviews and skill testing is prohibited unless Dimensional Fund Advisors has authorized such use. We strive to be an inclusive workplace; even if you do not match every qualification, we encourage you to apply. If you require reasonable accommodation, such accommodation is available upon request.
Job Description Dimensional’s Compliance department develops and oversees the firm’s compliance controls, policies, and procedures. Our global structure ensures coverage around the clock. Our consultative approach embeds Compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real‑time guidance. Our teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client‑directed guidelines; and contractual agreements.
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 Analyst acts as a steward of Dimensional and plays a vital role in ensuring compliance with all regulatory bodies and governing laws. This position will also assist with the management of the Global Code of Ethics and Standards of Conduct program (including Outside Business Activities, Gifts & Entertainment, Political Activities, and Pay‑to‑Play monitoring).
Responsibilities
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, identify key data‑driven insights.
Create 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.
Assist with departmental compliance projects as assigned, such as annual compliance testing.
Conduct monitoring activities within the Global Code of Ethics and Standards of Conduct program (Gifts & Entertainment, personal trading, political contributions).
Develop, maintain and conduct training and orientation programs to ensure employees are aware of their obligations under applicable regulatory requirements and/or internal policies.
Monitor employee personal trading practices to evaluate employee adherence to the firm’s trading policies including proper pre‑clearance, recording and reporting of transactions; responsible for identification of and initial follow‑up in connection with any potential violations and recommend appropriate action.
Perform exception report reviews related to client excessive trading and suspicious activity which may indicate client fraud or money laundering.
Assist with the development, implementation, and ongoing oversight of policies and procedures such as anti‑money laundering, cybersecurity, trade errors, and completion of regulatory filings.
Assist with managing internal website documenting oversight of key service providers.
Attend due diligence calls; assist with preparing and editing reports of on‑site due diligence visits.
Qualifications
Bachelor’s degree or equivalent work experience.
3+ years of professional experience in the financial service industry within a compliance‑related field.
Ability to obtain FINRA SIE and Series 7 within one year of starting.
Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.).
Strong working knowledge of investment management operations and advisory functions.
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.
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.
EEO Statement 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.
#J-18808-Ljbffr