The Compliance and Risk Department navigates risk and manages regulatory environments globally, helping the firm conduct business compliantly
Job Summary
The Compliance and Risk Department navigates risk and manages regulatory environments globally, helping the firm conduct business compliantly.
Responsibilities include analyzing marketing and firm communications, providing guidance on marketing materials, and supporting departmental compliance projects.
Dimensional offers comprehensive benefits, educational initiatives, and special celebrations of its history, culture, and growth.
Matching Summary
The Compliance and Risk Department navigates risk and manages regulatory environments globally, helping the firm conduct business compliantly.
Skills & Requirements
Must-have
marketing and advertising compliance
regulatory bodies and governing laws
testing methodology, risk and controls analysis
synthesize data; detail oriented
maintain confidentiality and data accuracy
Nice-to-have
interpersonal and relationship management skills
operate and prioritize in a fast-moving environment
self-guided and motivated
Key Requirements
Bachelor’s degree
5+ years of professional work experience
2+ years in a compliance related field
Understanding of financial services industry
Experience applying marketing and advertising rules
Proficiency with Microsoft Office Product Suite
Series 7 and Series 24 or working towards Series 24 preferred