Compliance Analyst

Diamond Hill Capital Management - Columbus, OH

Full-time - Entry Level

Columbus, OH

About the position

The Compliance Analyst at Diamond Hill Capital Management will be a key member of the Compliance team, responsible for ensuring that the firm adheres to legal and regulatory requirements while protecting client interests. This role involves day-to-day compliance functions, oversight of compliance programs, and collaboration with various departments to foster a culture of compliance within the organization.

Responsibilities

• Identify, develop, deploy and maintain trading controls based on client investment guidelines and regulatory requirements.
• Monitor pre-trade and post-trade compliance of client accounts.
• Create and maintain restricted lists within the firm's order management system.
• Perform data integrity checks in compliance applications and address gaps with technology.
• Provide tactical solutions using investment controls to reduce risk and improve efficiencies.
• Build and maintain trust with senior management, associates, and clients.
• Conduct policy and procedure testing to ensure compliance with rules and regulations.
• Develop, maintain, and update compliance program policies and procedures.
• Leverage existing and new technologies to improve process efficiency and lead team training.
• Assist with the management of the firm's code of ethics and personal investment transaction policy.
• Assist with monitoring and reporting of outside business activity, political activity, and gifts and entertainment.
• 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.
• Stay abreast of regulatory and business unit changes and develop anticipatory solutions.
• Participate in the annual review of the firm's compliance program and ongoing employee training.
• Act as a resource to associates to ensure understanding of regulatory structure and related procedures.
• Seek out internal and external industry and regulatory education opportunities.

Requirements

• Bachelor's degree.
• Advanced proficiency in Excel (complex formulas, pivot tables, macros, etc.).
• Strong technical ability and analytical skills.
• Clear communication and attention to detail.
• Ability to maintain strict confidentiality with sensitive information.
• Strong commitment to high ethical standards and integrity.
• Team-oriented with the ability to partner with colleagues.

Nice-to-haves

• 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.

Benefits

• Competitive compensation that rewards contributions.
• Market-leading 401(k) employer match.
• Substantial equity ownership 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.