Investment Compliance Analyst

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.

• Provide pre‑ and 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.
• Administer the order management system, including rule creation, testing, and production enhancements.
• Review post‑trade exceptions and elevate them 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 the 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 and CRIMS at a proficient level.
• Examine and analyze records, reports, operating practices, and documentation to ensure compliance with regulations and controls.
• 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 from internal and external data to aid Compliance in understanding, profiling, and enhancing reporting requirements.
• Identify, propose, and implement advanced analytic solutions, including automation, to mitigate regulatory risks.
• Research, analyze, and identify key data‑driven insights and present 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.

• Bachelor’s degree in an 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.
• Not eligible for immigration sponsorship.

• Continued post‑graduate education or advanced degrees.
• Professional certifications such as CRCM, CFA, etc.
• Series7 or working toward Series7 certification; must complete within 1year in role.
• Experience or knowledge in execution of operational, financial, regulatory, and related audits.
• Experience with Charles River or other order management systems.
• Experience or knowledge of third‑party vendor management of back‑office or middle‑office functions.

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, pregnancy, caregiver status, gender identity, national origin, age, mental or physical disability, ancestry, marital status, domestic partnership status, military or veteran status, unemployment status, citizenship status, sexual orientation, and other protected categories as outlined in applicable law.