Senior Compliance Analyst - Investments
Posted on 11/22/2022Guide Stone - Dallas, TX
We are an innovative organization that invests in the spiritual, relational, financial, physical and professional development of our employees. We have a culture that values excellence, teamwork, humility, integrity, compassion and stewardship.
What We Offer You!
We offer employees a generous benefits package, flexible work schedules, the opportunity to be involved in community outreach and tuition reimbursement.
The Senior Compliance Analyst – Investments (“Analyst”) will report to the Senior Compliance Manager – Investments, in support of the compliance programs of GuideStone Funds (“GSF”), a registered mutual fund family, its investment adviser GuideStone Capital Management, LLC (“GSCM”), GuideStone Investment Services (“GSIS”), an exempt investment adviser to charitable institutions, and GuideStone Financial Resources (“GSFR”) Investments.
What you will do:
- Play a key role in the day-to-day implementation of the compliance programs for GSF, GSCM, GSIS, and GSFR
- Review written policies and procedures designed to prevent violations of the federal securities laws
- Compliance testing and auditing as assigned
- Monitor portfolio compliance reports for adherence to legal requirements and client guidelines
- Review fund and adviser advertising and other communications for compliance with applicable laws and regulations
- Verify maintenance of required records in accordance with applicable laws and regulations
- Monitor, review and organize compliance reports and due diligence questionnaire responses received from sub-advisers and service providers
- Maintain project status information and monitor status of deliverables to business units
- Assist with the implementation of web-based solution platforms
- Other duties as assigned
What you will need:
- Bachelor’s Degree
- Minimum 3 years’ experience in compliance or legal at an investment management firm
- Familiarity with both registered funds and institutional investment managers
- Basic understanding of the federal securities laws, particularly the Investment Company Act of 1940 and the Investment Advisers Act of 1940
- Well-developed interpersonal skills and excellent communication skills, both oral and written, to interpret questions and assist others not familiar with complex terminology or issues
- Ability to exercise independent judgment and initiate appropriate action to resolve issues with the appropriate degree of supervision
- Ability to give clear, concise directions, instructions and guidance to others
- Ability to effectively communicate with internal and external stakeholders
- Ability to assess and manage multiple priorities
- Command of a variety of software applications to accomplish work tasks and ability to implement efficient systems for organizing work
- Ability to work effectively as a team member with every level of GSFR staff and outside service providers, including timely and effective collaboration and responsiveness
- Actively contribute to departmental goals for process maturity and increased efficiencies
- Complete confidentiality regarding GuideStone business and personnel matters
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