Dimensional’s Compliance department is charged with the development and oversight of the firm’s compliance internal controls, policies, and procedures. Our global structure follows the sun, with compliance personnel established at each office to ensure compliance coverage around the clock. We have a consultative approach that embeds compliance staff within the groups they support, encouraging communication among teams and improving efficiency with real-time guidance. Compliance teams coordinate the establishment and monitoring of processes and controls for compliance with applicable laws, rules, and regulatory standards; internal and client-directed guidelines; and contractual agreements.
The Distribution Compliance team provides compliance support to the Global Client Group, oversees the compliance policy repository, and facilitates the review, production, and submission of records pertaining to regulatory requests. The team focuses on marketing and advertising compliance, client reporting and requests for proposals, as well as management reporting. They play an important role in executing business compliance matters by providing evaluation, development, maintenance, testing, and monitoring of regulatory compliance programs and related client reporting. This position works closely with Compliance, Risk, and Legal colleagues, and business representatives across the firm including the Global Client Group.
The Compliance Analyst assists in the day-to-day transactions relating to compliance. The analyst will work with senior staff to ensure Dimensional remains compliant with all regulatory bodies and governing laws.