Compliance Analyst - Code of Ethics
Job Overview
Skills & Requirements
Teams
Essential skill for this role
Investment Management
Essential skill for this role
Due Diligence
Comprehensive due diligence and research capabilities
Anti-Money Laundering
Essential skill for this role
Qualifications & Education
Experience Required
0-2
Qualifications
Bachelor’s degree or equivalent work experience 3+ years of professional experience in 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 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 #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.
About the Role
Compliance Analyst – Code of Ethics
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Skills Snapshot
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Notes
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Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.
Resumes and portfolios (when applicable) 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 include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer.
Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply.
The use of Artificial Intelligence during interviews and skill testing is prohibited, unless Dimensional Fund Advisors has authorized such use.
If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.
Inside the Program
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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. This position will also assist with the management of the Global Code of Ethics and Standards of Conduct program (including Outside Business Activities, Gifts and Entertainment, Political Activities, and Pay to Play monitoring).
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