Compliance Analyst Compliance Analyst …

Dimensional Fund Advisors
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Dimensional Fund Advisors
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Compliance Analyst
Compliance Analyst Charlotte/en-US/DFA_Careers/job/Charlotte/Compliance-Analyst_2020-5461/apply

Note to applicants:  Resumes are required as part of your application.  When applying from a mobile device or tablet, you may not be able to attach a resume.  If you cannot attach a resume at the time of your application, you will receive a follow up email asking  you to attach your resume from a computer.

Job Description:

The Compliance Analyst assists in the day-to-day transactions relating to compliance. The analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws.


  • Provide pre- & post- trade compliance support to portfolio management and trading staff
  • Extract investment guidelines from prospectuses, SAI's, investment management agreements, and other contractual constituent documents
  • Assist with the general 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
  • Assist in the design, refinement and execution of internal controls and corporate compliance procedures
  • Assist Compliance Officers with surveillance and forensic testing of the front office compliance program
  • Review substantial shareholder limitations and execute US and foreign regulatory filings
  • Prepare account compliance confirmation to sub-advised and separate account clients
  • Use SQL& CRIMS at a basic 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
  • Research, analyze, and 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
  • May coordinate or conduct delivered Compliance training
  • Assist with departmental compliance projects as assigned, such as annual compliance testing


  • Bachelors degree
  • 2+ years of professional work experience preferred; experience in a compliance related field is a plus
  • Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
  • Technical and professional skills or knowledge of testing methodology, risk and controls analysis
  • 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
  • Series 7 or working towards Series 7; must complete within 2 years in role
  • Previous experience with a trade compliance and/or portfolio management order management system preferred

It is the policy of the Company to provide equal employment opportunity for all applicants and employees. The Company does not unlawfully discriminate on the basis of race, color, religion, creed, sex, gender, gender identity, gender expression, national origin, age, disability, genetic information, ancestry, medical condition, marital status, covered veteran status, citizenship status, sexual orientation, or any other protected status. This policy applies to all areas of employment including recruitment, hiring, training, job assignment, promotion, compensation, benefits, transfer, discipline, termination, and social and recreational programs.

Posted 7 Days AgoFull time2020-5461

Dimensional is a global investment firm guided by deep convictions about the power of capital markets. We are a leader in applying advanced financial science to equity and fixed income investment strategies. By employing a rigorous and systematic investment approach, we seek to capture what the market offers in all its dimensions.

For more than 30 years, we have translated research into real-world investment solutions for clients. Our clients include financial advisory, pension funds, retirement plans, college savings plans, insurance companies, endowments and foundations, and sovereign wealth funds. Headquartered in Austin, Texas, with 14 offices around the world, Dimensional manages $579.4 billion globally as of September 30, 2019.

Dimensional Fund Advisor LP is an investment advisor registered with the Securities and Exchange Commission.