Compliance Analyst - Mutual Funds

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.

 

 

The Compliance Analyst – GSCM reports directly to the Chief Compliance Officer of GuideStone Capital Management LLC & GuideStone Funds. 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. We serve those that serve the Lord with the integrity of our hearts and the skillfulness of our hands. (Psalm 78:72)

 

What You'll Do:

• 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 for up to 5% annually.

• Proven self-starter who successfully completes responsibilities in a timely manner with minimal supervision.

 

What You'll Need

• Bachelor’s Degree or equivalent work experience.

• At least 3 years of analytical or equivalent industry relevant experience (investment adviser, audit/accounting firm, broker-dealer, bank, regulatory agency, or law firm).

• 2+ years of direct investment adviser and/or mutual fund compliance experience including preparation of compliance procedures and reports and performing monitoring and testing, preferred.

• 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, preferred.

• Familiarity with financial instruments, investment strategies including complex instruments across all asset classes, preferred.

• Familiarity with mutual fund operational functions including investment process (internally managed and sub-advised), trading, operations, accounting, tax, transfer agency, and custody, preferred.

• Familiarity with compliance monitoring systems (e.g., Blackrock Aladdin, Bloomberg CMGR, CRIMS, SS&C Eze), preferred.

• Compliance industry certification (e.g., IACCP), a plus.

• Must have complete confidentiality regarding GuideStone business matters.

 

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