Compliance Analyst, Investments
Posted on 02/08/2024Guide 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.
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”).
- 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
- 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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