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Senior Compliance Officer (Front Office)

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Dimensional Fund Advisors

22d ago

  • Job
    Full-time
    Expert Level
  • Legal
    Banking & Finance
  • Austin
  • Quick Apply

AI generated summary

  • You need a Bachelor's degree, 10+ years in compliance, 3+ years in management, project management skills, excellent communication, strong analytical mindset, and proficiency in compliance systems.
  • You will design compliance strategies, manage a compliance team, ensure regulatory adherence, oversee projects, support investment compliance, and coordinate global compliance activities.

Requirements

  • 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

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
  • 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

FAQs

What is the working model for this position?

This role follows an office-first hybrid approach, with in-office collaboration on Tuesdays, Wednesdays, and Thursdays, and the option to work remotely or in the office on Mondays and Fridays.

What qualifications are required for the Senior Compliance Officer position?

Candidates must have a Bachelor's degree, 10+ years of professional experience in the financial services industry within a compliance-related field, and 3+ years of management/supervisory experience.

Are there specific certifications preferred for this role?

Yes, Series 7 and 24 certifications are preferred, but candidates can acquire them over time.

What are the main responsibilities of the Senior Compliance Officer?

Responsibilities include designing compliance strategies, leading a compliance team, managing pre- and post-trade compliance, developing compliance procedures, and maintaining regulatory knowledge.

Is prior experience in financial services essential?

Yes, at least 10 years of professional experience in the financial services industry, specifically within a compliance-related field, is required.

What types of projects will the Senior Compliance Officer oversee?

The Senior Compliance Officer will oversee departmental compliance projects such as annual compliance testing and will manage project planning and execution regarding reporting requirements.

Are there opportunities for professional development in this role?

Yes, Dimensional offers a variety of programs for career growth, including educational initiatives and comprehensive benefits.

Will the Senior Compliance Officer interact with senior management?

Yes, the role involves interfacing with senior management to perform compliance requirements, initiatives, and due diligence efforts.

How can I apply if I cannot attach my resume from a mobile device?

If you cannot attach your resume while applying from a mobile device, you will receive a follow-up email prompting you to attach your resume from a computer.

Is there a focus on team collaboration in this role?

Yes, the position emphasizes building deep relationships with internal clients and business partners to develop efficient compliance strategies.

Dimensional Fund Advisors

Going beyond indexing since 1981.

Finance
Industry
1001-5000
Employees
1981
Founded Year

Mission & Purpose

Dimensional is a leading global investment firm that has been translating academic research into practical investment solutions since 1981. Guided by a strong belief in markets, we help investors pursue higher expected returns through a systematic investment process that integrates research insights with advanced portfolio design, management, and trading while balancing tradeoffs that can impact returns. Dimensional is headquartered in Austin, Texas, and has 14 global offices across North America, Europe, and Asia. As of June 30, 2023, Dimensional manages $634 billion for investors worldwide. Dimensional Fund Advisors LP is an investment advisor registered with the Securities and Exchange Commission. *“Dimensional” refers to the Dimensional separate but affiliated entities generally, rather than to one particular entity. These entities are Dimensional Fund Advisors LP, Dimensional Fund Advisors Ltd., DFA Australia Limited, Dimensional Fund Advisors Canada ULC, Dimensional Fund Advisors Pte. Ltd., Dimensional Ireland Limited, Dimensional Japan Ltd., and Dimensional Hong Kong Limited. Dimensional Hong Kong Limited is licensed by the Securities and Futures Commission to conduct Type 1 (dealing in securities) regulated activities only and does not provide asset management services.