Dimensional Fund Advisors · 1 day ago
Senior Compliance Analyst
Charlotte, NC
Full-time
Hybrid
Senior Level
5+ years expDimensional Fund Advisors is a company focused on compliance and oversight in the financial services industry. The Senior Compliance Analyst will assist in day-to-day compliance transactions, ensuring adherence to regulatory bodies and governing laws while working closely with senior staff and supporting various compliance initiatives.
Financial Services
Responsibilities
Review and analyze marketing and other firm communications and recommend proposed edits as needed
Provide support for licensing and registration responsibilities
Advise sales and marketing teams on compliance-related issues
Maintain processes and procedures for licensing and registration, and program initiatives, ensuring compliance with regulatory standards and organizational goals
Provide compliance support to sales channels and monitor supervisory activities
Prepare, coordinate, and deliver annual compliance training, in collaboration with team
Provide communications review and surveillance support for social media as necessary
Assist with departmental compliance projects as assigned, such as annual compliance testing
Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation
Qualification
Required
Bachelor's degree or equivalent experience
5+ years of professional work experience; 2+ years in a compliance related field
Understanding of the financial services industry and applicable rules, regulations, and federal and state securities laws (SEC, FINRA, FCA, etc.)
Series 7 preferred or must complete within 1 year in role
Series 24 preferred
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 prioritize in a fast-moving & demanding environment and deal with complex situations
Strong analytical mindset with an ability to synthesize 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
Benefits
Comprehensive benefits
Educational initiatives
Special celebrations of our history, culture, and growth
Company
Dimensional Fund Advisors
Dimensional Fund Advisors is a company that provides asset management services.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Dave Butler
Co-CEO
Bernard Grzelak
Chief Financial Officer and Vice President
Recent News
2025-12-16
2025-11-19
2025-11-18
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