Compliance Analyst

1 week ago

Dallas, United States GuideStone Financial Full time
Experience GuideStone

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.

Job Summary

As Compliance Analyst for GuideStone you will report directly to the Senior Manager, Mutual Funds Compliance. This position is responsible for day-to-day compliance functions and the implementation and oversight of the GuideStone Funds compliance program under Rule 38a-1 of the Investment Company Act and the GuideStone Capital Management compliance program under Rule 206(4)-7 of the Investment Advisers Act.

Essential Duties & Responsibilities
  • Develop, maintain, and update policies and procedures of the Adviser and Funds.
  • Maintain relationships, perform due diligence and oversight of sub-advisers, service providers, and intermediaries.
  • Perform portfolio compliance monitoring for sub-advised funds.
  • Monitor and assess compliance risk and related controls. Develop appropriate testing strategies, conduct assessments of the Adviser and the Funds, and report findings.
  • Prepare and review compliance reporting materials for the Fund's Board of Directors.
  • Assist with the implementation of new and amended rules and regulations, and other department updates.
  • Represent compliance management and work with a team of other compliance professionals, attorneys, business partners, and/or project/IT teams to deliver compliant business and regulatory requirements.
  • Travel is required up to 5% annually.
  • Proven self-starter who successfully completes responsibilities in a timely manner with minimal supervision.
Knowledge, Skills, and Abilities

The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Minimum Requirements:
  • Bachelor's Degree or equivalent work experience
  • At least 5 years of analytical or equivalent industry relevant experience (investment adviser, audit/accounting firm, broker-dealer, bank, regulatory agency, or law firm).
Preferred Experience:
  • At least 3 years of direct investment adviser and/or mutual fund compliance experience including preparation of compliance procedures and reports and performing monitoring and testing.
  • Understanding of regulatory compliance requirements of the Investment Company Act of 1940 (especially 38a-1 thereunder), and the provisions of the Investment Advisers Act of 1940 related to advising mutual funds.
  • Familiarity with financial instruments, investment strategies including complex instruments across all asset classes.
  • Familiarity with mutual fund operational functions including investment process (internally managed and sub-advised), trading, operations, accounting, tax, transfer agency, and custody.
  • Familiarity with compliance monitoring systems (e.g., Blackrock Aladdin, Bloomberg CMGR, CRIMS, SS&C Eze).
  • Compliance industry certification (e.g., IACCP), a plus.
  • Must have complete confidentiality regarding GuideStone business matters.


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