Notes to applicants:

• 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.

• If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.

Job Description:

The Senior Compliance Officer partners with Compliance Leadership and acts a key contributor to effectively implement, maintain and administer Dimensional’s compliance program. This position proactively works with a team of Compliance subject matter experts to identify and escalate compliance risk and achieve strong compliance results and ratings. The Senior Compliance Officer also plays a vital role in establishing both short-term and long-term goals and objectives of the Compliance function.

Responsibilities:

• Design and consult with Compliance leadership on an enterprise-level compliance strategy that is aligned with global business needs
• Develop deep relationships with internal clients and business partners; thoroughly understand needs and priorities and develop efficient strategies to ensure compliance
• Lead a team of compliance professionals; establish clear goals to measure success of subordinates, monitor team’s performance, and coach and mentor employees to successfully achieve objectives
• Participate in financial industry and regulatory network; interface with senior management to perform compliance requirements, initiatives and due diligence efforts
• Manage the planning and execution of new processes and procedures regarding reporting requirements and other compliance related activities
• Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses.
• Develop and oversee departmental compliance projects as assigned, such as annual compliance testing
• Provide backup and support to the Vice President, Head of Investment Compliance and other Senior Compliance personnel as needed

Front Office Compliance

• Manage pre- & post trade compliance support to portfolio management and trading staff
• Review registered mutual fund and separately managed account agreements including investment management agreements and other contractual documents; extract and code investment guidelines
• Develop the administration of the order management system, including rule creation, testing, and production enhancements
• Manage the research and resolution of post-trade exceptions and provide expertise when needed
• Develop, refine and execute internal controls and compliance procedures in connection with Rule 206(4)-7 and Rule 38a-1 and SOC 1 audit
• Manage the surveillance and forensic testing in conjunction with global compliance team
• Manage the preparation and filing of various regulatory transactions reporting (Schedules 13F, 13G, 13H, foreign substantial shareholder filings, etc.)
• Manage the monitoring of derivative exposures, ineligible securities monitoring
• Coordinate global front office compliance activities with EMEA and Asia-based compliance analysts
• Stay abreast of the Investment Advisers Act of 1940 and Investment Company Act of 1940; maintain strong working knowledge of UCITS, Australian Trusts or other fund jurisdictions

Qualifications:

• Bachelor’s degree
• 10+ years of professional in financial service industry within a compliance related field
• Preferred Series 7 and 24 certifications but can acquire over time
• 3+ years’ management/supervisory experience; willing to be hands-on through daily activities and give clear, constructive & actionable feedback
• Demonstrated success in developing & implementing process improvements, maximizing process efficiencies, and building relationships to understand commercial priorities
• Proficient knowledge of financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
• Project management skills, including systems integration of new technological platforms, re-engineering of business processes, end user systems application testing and integration, and issue tracking and resolution
• Proficiency in compliance management systems
• Technical and professional skills or knowledge of testing methodology, risk and controls analysis
• 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 globally
• Ability to impact and influence others across the organization
• Strong analytical mindset with an ability to synthesize data
• Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
• Ability to maintain confidentiality and data accuracy when handling sensitive information
• Relevant Professional Certifications a plus

#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.

It is the policy of the Company to provide equal opportunity for all employees and applicants.  The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.