Compliance Analyst, Investments


Published on 02/08/2024Guide Stone - Dallas, TX

Description

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.

 

 

What you will do:

The Compliance Analyst – Investments (“Analyst”) will report to the Senior Compliance Manager – Investments (“Senior Manager”), primarily in support of the compliance and third-party risk management needs of GuideStone Financial Resources (“GSFR”) Investments, and GuideStone Investment Services (“GSIS”). 
 

Compliance Program:

  • Support the Senior Manager in the implementation of the compliance program for GSFR Investments and GSIS
  • Test and audit policies and procedures
  • Monitor portfolio compliance for adherence to legal requirements and client guidelines
  • Review GSIS advertising and other communications for compliance with applicable laws and regulations
  • Verify maintenance of required records in accordance with applicable laws and regulations

Third-Party Risk Management:

  • Assist the Senior Manager with due diligence reviews of third-party service providers of GSFR’s Investments Line of Business, including preparation of due diligence questionnaires (DDQs) and review of responses
  • Monitor, review and organize reports received from third-party service providers

Other:

  • 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
  • Prior experience in compliance and/or third-party risk management at an investment management firm a plus
  • Familiarity with the business and regulation of investment advisers a plus
  • Familiarity with charitable organizations a plus
  • Well-developed interpersonal skills and excellent communication skills, both oral and written, to interpret questions and assist others not familiar with complex legal 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 consultant, 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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About Guide Stone

GuideStone is a diversified Christian financial services provider, offering retirement, insurance, investment management, property and casualty coverage, and executive planning products and services to the Southern Baptist and wider evangelical Christian community. GuideStone sponsors the nation’s largest Christian-screened registered mutual fund family and is located in Dallas, Texas.

LocationDallas, TX 75244

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