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.

• 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.

Job Description:

The Senior Compliance Officer is responsible for managing the Global Code of Ethics and Standards of Conduct program by ensuring objectives are met with minimal impact to the organization. Standards of Conduct includes Outside Business Activities, Gifts and Entertainment, Political Contributions, and Personal Securities Transactions.  The Senior Compliance Officer is a critical part of the Regulatory Compliance Group and will have direct and indirect supervision responsibilities related to FINRA Licensing and Annual Compliance Training.

Responsibilities:

• Design and consultant with COO/DCCO 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
• Interact with regulatory agencies, lead due diligence efforts and initiatives
• Participate in financial industry and regulatory network; interface with senior management, C-Suite 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 and other Senior Compliance personnel as needed
• Oversee the licensing and registration programs to meet US and Canadian regulatory requirements and firm policies and ensures all related filings are completed in a timely manner
• Oversee the NFA registration requirements and additional filings (CPO PQR, Self-Exam) for the National Futures Association (NFA)
• Maintain relationship with FINRA staff and assigned coordinator and serves as point of contact for membership and registration issues
• Oversee firm element training and ensures FINRA Continuing Education is completed in a timely manner to meet FINRA and firm policy requirements
• Oversee supervisory programs (broker-dealer written supervisory procedures, CRS supervisory assignments, etc.)
• Manage and deliver yearly training program to ensure employee awareness of licensing regulatory requirements and/or internal policies
• Lead required internal regulatory related examinations and assists with external regulatory examinations
• Monitor and test various platforms and workflows to ensure regulatory and internal requirements
• Manage compliance related issues, independently evaluates situations, makes decisions and solves problems; escalate to senior leadership as necessary
• Oversee the effectiveness of existing Employee Compliance procedures and make recommendations for business process improvements; seek technology needs to enhance the licensing and registration process
• Maintain relationship with FINRA staff and/or assigned coordinator; serve as an alternate point of contact for membership and registration issues

Qualifications:

• Bachelor’s degree
• 10+ years of professional in financial service industry within a compliance related field
• Series 7 and 24 certifications
• 3+ years’ management/supervisory experience; willing to be hands-on through daily activities and give clear, constructive & actionable feedback to direct reports
• 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
• Proficient in the Microsoft Office suite
• Relevant professional certifications, Master's degree or post-graduate work preferred

#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.