Compliance Analyst

  • Base + Bonus
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Dimensional Fund Advisors Ltd
  • 05 Jun 18 2018-06-05

This role is responsible for assisting with a variety of generalist compliance activities including, monitoring firms' regulated activities, collating committee and board reports, assisting with regulatory and client correspondence, and keeping abreast of regulatory developments and operating practices in the UK and EMEA in an effort to ensure compliance with the firm’s regulatory obligations. This role is based in London and works under direct supervision of more senior level staff.

Dimensional is a global investment firm guided by deep convictions about the power of capital markets.  We are a leader in applying advanced financial science to equity and fixed income investment strategies.  By employing a rigorous and systematic investment approach, we seek to capture what the market offers in all its dimensions.

For more than 30 years, we have translated research into real-world investment solutions for clients.  Our clients include financial advisory, pension funds, retirement plans, college savings plans, insurance companies, endowments and foundations, and sovereign wealth funds.  Headquartered in Austin, Texas, with 12 offices around the world, Dimensional manages $586 billion globally as of March 31, 2018.

This role is responsible for assisting with a variety of generalist compliance activities including, monitoring firms' regulated activities, collating committee and board reports, assisting with regulatory and client correspondence, and keeping abreast of regulatory developments and operating practices in the UK and EMEA in an effort to ensure compliance with the firm’s regulatory obligations. This role is based in London and works under direct supervision of more senior level staff.

Responsibilities

  • Ensure compliance with regulations and controls by examining and analysing records, reports, operating practices, and documentation 
  • Extract and compile data from various systems and sources; verify the accuracy and integrity of data 
  • Conduct descriptive and/or diagnostic analysis to provide actionable insight derived from both internal and external data to enable Compliance to better understand, profile and enhance reporting requirements 
  • Research, analyse, and identify key data-driven insights 
  • Create processes and draft procedures regarding reporting requirements and other compliance related activities 
  • Review reports, risk indicators, and red flags to identify and propose corrective action 
  • Assist with departmental compliance projects as assigned, such as annual compliance testing 


Regulatory - Monitoring & Reporting

  • Undertake compliance monitoring in accordance with the programme
  • Develop, implement and monitor regulatory compliance policies, procedures and internal controls 
  • Prepare and distributes periodic Compliance Committee and Board reports 
  • Prepare in a timely manner the submission of regulatory filings (Gabriel, Connect, ONR)
  • Assist with the documentation of regulatory reviews 
  • Prepare and distribute periodic client compliance reports, representations as required
  • Assist with the completion of RFP/DD questionnaires
  • Co-ordinate and/or conduct compliance training to new starters and existing employees
  • Back up support to other Compliance team members with Takeover Panel Reporting 

Regulatory - Code of Ethics 

  • Implement and conduct the Global Code of Ethics and Standards of Conduct program 
  • Develop, maintain and conduct training and orientation programs to ensure employees are aware of their obligations under applicable regulatory requirements and/or internal policies 
  • Enforce gift and business entertainment policy through extensive review of employee reporting and verify compliance (or non-compliance) with the policy 
  • Address personal trading and Code of Ethics related inquiries from employees 


Qualifications

  • Bachelor’s degree 
  • 4+ years of professional work experience; 2+ years in a compliance related field 
  • Good understanding of industry practice and applicable rules, regulations 
  • 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 prioritise in a fast-moving & demanding environment and deal with complex situations 
  • Strong analytical mindset with an ability to synthesise 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