Compliance Analyst - Mutual Funds
GuideStone Financial Resources, Dallas, TX, United States
Compliance Analyst – GSCM
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 for implementing and overseeing 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. 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 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 compliance professionals, attorneys, business partners, and 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. Qualifications
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. 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 and investment strategies 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) is a plus. Must have complete confidentiality regarding GuideStone business matters.
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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 for implementing and overseeing 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. 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 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 compliance professionals, attorneys, business partners, and 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. Qualifications
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. 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 and investment strategies 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) is a plus. Must have complete confidentiality regarding GuideStone business matters.
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