JOB DESCRIPTION
Compliance Analyst
Columbus, OH
IN BRIEF
Diamond Hill Capital Management, Inc. is an SEC-registered investment adviser that provides investment management services to individual and institutional investors through mutual funds, separate accounts, collective investment trusts, other pooled vehicles including subadvised funds, an interval fund, and a private fund. The firm is looking to recruit a Compliance Analyst who will be a member of the Compliance team. The team partners with all areas of the firm to ensure client interests are protected and to ensure the firm complies with the ever-changing legal and regulatory requirements. This position is responsible for day-to-day compliance functions and the implementation and assisting with the oversight of the firm’s compliance programs.
WHO YOU ARE
- A curious self-starter with strong analytical skills and excellent attention to detail.
- A team player who enjoys collaboration and has excellent communication skills.
- A solutions-oriented problem solver with the ability to prioritize multiple requests from a variety of sources.
- A tech-savvy thinker with an efficiency mindset that is focused on enhancing operational efficiency and accuracy.
WHAT YOU’LL DO
Primary Position Responsibilities:
- Identify, develop, deploy and maintain trading controls based upon client investment guidelines and regulatory requirements within the firm’s order management system.
- Monitor pre-trade and post-trade compliance of client accounts within the firm’s order management system.
- Creation and maintenance of restricted lists within the firm’s order management system.
- Perform data integrity checks in the compliance applications and address gaps by working with technology to source or update information.
- Provide tactical solutions using investment controls to reduce risk and improve efficiencies across the firm.
- Build and maintain trust with senior management, associates, and clients. Help foster an overall culture of compliance.
- Conduct policy and procedure testing to ensure compliance with rules and regulations. Work closely and cross-functionally with multiple departments while completing testing.
- Develop, maintain, and update compliance program policies and procedures.
- Leverage existing and new technologies to improve process efficiency and lead team training.
Additional Position Responsibilities:
- Assist with the management of the firm’s code of ethics, with a focus on the personal investment transaction policy and ensuring compliance with its requirements.
- Assist with outside business activity, political activity, and gifts and entertainment monitoring and reporting.
- Assist with due diligence and oversight of service providers and vendors.
- Assist with the implementation of new and amended rules and regulations.
- Assist with various compliance certifications requested on behalf of clients.
- Continually stay abreast of regulatory and business unit changes, develop anticipatory solutions and ensure effective implementation of new securities laws, standards and controls.
- Participate in the annual review of the firm's compliance program and ongoing employee training.
- Act as a resource to, and work side by side with, all associates to ensure they have a strong understanding of the regulatory structure and the related procedures specific to their team.
- Seek out internal and external industry and regulatory education opportunities.
- Responsibilities for each role outlined above are subject to change, and the percentage of time allocated to each may vary as the position evolves.
WHAT YOU NEED
Required:
- Bachelor’s degree.
- Advanced proficiency in Excel (complex formulas, pivot tables, macros, etc.).
- Strong technical ability, clear communication, attention to detail, and analytical skills.
- Ability to maintain strict confidentiality with sensitive employee, client, business, and non-public information.
- Strong commitment to maintaining high ethical standards and integrity.
- Team-oriented and ability to partner with colleagues to achieve shared goals.
A Plus:
- Previous experience in the investment management industry.
- Working knowledge of securities markets (trade execution, trade settlement, custody of assets, etc.).
- Working knowledge of securities laws applicable to registered investment advisers and registered investment companies.
- Public or internal audit experience.
- Ability to identify risks and effectively discuss them.
WHY JOIN DIAMOND HILL?
Join a group of passionate and intelligent professionals committed to doing the right thing for our clients. We think about our people like we think about investing—we hire for the long term and thoughtfully invest in our people throughout their careers.
A few benefits we provide:
- Competitive compensation that rewards our associates’ contributions
- Market-leading 401(k) employer match
- Substantial equity ownership is granted to all associates during their first year
- Comprehensive health insurance eligibility on day one
- Dental and vision coverage
- Generous paid vacation and sick time
- Professional development opportunities
- Industry conference attendance
- Reimbursement for job-related professional designations and registrations such as the CFA
Attracting and retaining colleagues who embody our core values – curiosity, ownership, trust, respect – enables us to foster an environment of excellence and a client-centric culture. We believe the differentiated perspectives of a diverse team operating in an environment of mutual respect greatly benefits our clients and our colleagues.
Diamond Hill is proud to be an equal opportunity workplace. All employment decisions including recruitment, hiring, compensation, promotion, and discipline are made without regarding to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by all applicable laws and regulations.