Counsel, Regulatory Engagement & Examinations

Notes to applicants:

• Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role.

• Resumes and portfolios (when applicable) are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer.

• Here at Dimensional, we strive to be an inclusive workplace for all. Even if you do not match every qualification listed, if you are interested in who we are, what we do, and why we do it, we suggest and encourage you to apply.

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• If you require reasonable accommodation in completing this application, interviewing, or otherwise participating in the employee selection process, such accommodation is available upon request.

Regulatory Engagement & Examinations Counsel

Dimensional's Legal division is an in-house team of client-focused attorneys, paralegals, and legal assistants who partner with internal and external teams to help provide legal expertise across business functions, legal systems, and jurisdictions.

This Regulatory Engagement & Examinations Counsel role will be responsible for overseeing and managing the legal aspects of Dimensional’s global regulatory engagements. They will partner with Compliance, Finance, and other business groups to manage regulatory inquiries, audits and exams with global regulators such as SEC, FINRA, DOL, CFTC, NFA, IRS, FCA, MAS and ASIC.

Responsibilities

• Support Dimensional’s business on all regulatory engagement & examination matters, including regulatory examinations, surveys and questionnaires, subpoenas, information requests, meetings and other interactions and inquiries.
• Work with senior management to analyze examination requests and other regulatory information requests and provide direction for effective approach to such requests.
• Support the management of regulatory inquiries and exams, including providing a review/evaluation of the quality, accuracy, sufficiency and completeness of regulatory responses.
• Prepare briefing notes and read- outs of examination meetings.
• Coordinate with multiple teams across disciplines and regions to meet exam deliverables.
• Advise on regulatory guidance, themes and focus areas that could impact examinations.
• Maintain and enhance firm-wide processes, standards, and documentation for all regulatory examinations, ad hoc requests, and other regulatory activities.
• Serve as legal consultant to internal business clients for special projects.
• Prepare and, when requested, present materials such as memoranda, agendas, and meeting minutes for internal meetings, committee meetings, or the meetings of the various Boards of Dimensional, its subsidiary companies and/or its fund complexes; identify legal issues and provide legal advice of importance to the Boards.
• Facilitate communication among all major stakeholders, including senior management and control functions.

Qualifications

• 6-8+ years of practice in a top-tier law firm, company or government agency, including at least 3+ years of experience in managing regulatory exams and relationships with regulators/examiners.  Government agency experience preferred
• Knowledge of investment management agreements, investment adviser, broker-dealer, open-end mutual fund and/or ETF issues is highly desirable
• Substantial knowledge of federal securities law and corporate law; familiarity with Investment Company Act of 1940 and Investment Advisers Act of 1940 is highly desirable
• Familiarity with non-US financial sector regulators in jurisdictions where Dimensional has operations is highly desirable
• Detail oriented, organized and professional
• JD from a top law school
• Member of a US state bar required
• Excellent verbal and written communication skills, as well as an ability to communicate with executives and non-lawyer business partners in a clear and understandable way 
• Technical fluency, including proficiency with Microsoft Office Suite and other legal technology (ebilling, legal document repository, legal research tools), as well as a willingness & ability to learn and adapt to new technologies.
• Able to work well in a team environment
• Self-starter who can manage multiple time-sensitive projects involving different business and support groups on a cross-functional basis.

#LI-Hybrid

Dimensional offers a variety of programs to help take care of you, your family, and your career, including comprehensive benefits, educational initiatives, and special celebrations of our history, culture, and growth.

It is the policy of the Company to provide equal opportunity for all employees and applicants.  The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.