Compliance Analyst, Finance & Banking

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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.

Responsibilities:

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

Qualifications:

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…