Senior Compliance Analyst
Dimensional Fund Advisors
full-time
Posted on:
Location Type: Hybrid
Location: Austin • North Carolina • Texas • United States
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Job Level
About the role
- Review and analyze marketing and other firm communications and recommend proposed edits as needed
- Provide support for licensing and registration responsibilities
- Advise sales and marketing teams on compliance-related issues
- Maintain processes and procedures for licensing and registration, and program initiatives, ensuring compliance with regulatory standards and organizational goals
- Provide compliance support to sales channels and monitor supervisory activities
- Prepare, coordinate, and deliver annual compliance training, in collaboration with team
- Provide communications review and surveillance support for social media as necessary
- Assist with departmental compliance projects as assigned, such as annual compliance testing
- Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation
Requirements
- Bachelor’s degree or equivalent experience
- 5+ years of professional work experience; 2+ years in a compliance related field
- Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
- Series 7 preferred or must complete within 1 year in role
- Series 24 preferred
- 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
Benefits
- comprehensive benefits
- educational initiatives
- special celebrations of our history, culture, and growth
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance analysisrisk analysiscontrols analysistesting methodologydata synthesisregulatory complianceannual compliance trainingsupervisory activities monitoringcommunications reviewsocial media surveillance
Soft skills
oral communicationwritten communicationinterpersonal skillsrelationship managementprioritizationanalytical mindsetattention to detailself-guidedmotivationconfidentiality
Certifications
Bachelor's degreeSeries 7Series 24