Dimensional
Finance
InvestmentComplianceAnalyst
Neural analysis suggests this role is
optimal for Mid+ candidates.
“Investment Compliance Analyst at Dimensional. Skills: Compliance Oversight Programs, Regulatory Compliance, Data Analysis. Provide pre- & post- trade compliance support. Extract and review investment guideline coding”
What You'll Achieve.
Ensure compliance with all regulatory bodies and governing laws; Mitigate regulatory risks; Provide actionable insight derived from both internal and external data
Industry & Context.
Analytical mindset with an ability to synthesize data; Identify, propose and implement advanced analytic solutions; Identify and propose corrective action
This role is not eligible for immigration sponsorship
What They're Looking For.
Must Have
Bachelor's degree in applicable business-related field, Proficient in the Microsoft Office suite
Nice to Have
Continued post-graduate education or advanced degrees, Professional Certifications (CRCM, CFA, etc. ), Series 7 or working towards Series 7 must complete within 1 year in role, Experience or knowledge in execution of operational, financial, regulatory, related audits, Experience with Charles River or other order management systems, Experience or knowledge with third party vendor management of back office or middle office functions
What You'll Do.
Provide pre- & post- trade compliance support
Extract and review investment guideline coding
Administration of the order management system
Review post-trade exceptions
refine and execute internal controls
Conduct surveillance and forensic testing
Maintain working knowledge of Investment Adviser’s Act of 1940
Maintain working knowledge of UCITS
Convey complex regulatory and investment concepts
Ensure compliance with regulations and controls
Extract and compile data
Conduct descriptive and/or diagnostic analysis
propose and implement advanced analytic solutions
and identify key data-driven insights
Design processes and draft procedures
Manage departmental compliance projects
How You'll Work.
Team & Collaboration
Collaboration among teams; Work well in a team environment, both locally and globally; Ability to impact and influence others across the organization
Communication Scope
Excellent written and oral; Able to deliver presentations in an articulate and convincing manner; Convey complex regulatory and investment concepts to internal and external clients; Clearly articulate these insights in the form of actionable recommendations
Process & Methodology
Manage departmental compliance projects as assigned
Full Job Description
### ### **Job Description:** 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 d
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