Compliance Analyst - Investments

Responsibilities

• Support the CCO in the implementation and administration of the compliance program for GSIS, a registered investment adviser.
• Support the CCO in developing and administering Compliance policies, testing and training.
• Test, review and audit policies and procedures of GSIS
• Monitor employees' adherence to Compliance policies, including the code of ethics.
• Perform due diligence reviews of third-party service providers of GuideStone's Investments Division, including preparation of due diligence questionnaires (DDQs) and review of responses.
• Monitor, review and organize reports received from third-party service providers.
• Review and monitor AML/KYC/CIP-related activities, alerts, reports, and exception items; escalate issues as appropriate and document resolution.
• Maintain project status information and monitor status of deliverables to business units.
• Assist with the implementation of web-based solution platforms.

Requirements

• Bachelor's Degree.
• 2+ years experience in compliance with focus on policy development, testing and monitoring, and/or operational risk management at an investment management firm (investment adviser / broker-dealer).
• Familiarity with the business and regulation of investment advisers and the Investment Advisers Act of 1940.
• Familiarity with Anti-Money Laundering rules and regulation a plus.
• Familiarity with charitable organizations a plus.
• Well-developed interpersonal skills and excellent communication skills, both oral and written.
• 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 and deadlines.
• 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 GuideStone staff and outside consultant, including timely and effective collaboration and responsiveness.
• Actively contribute to departmental goals for process maturity and increased efficiencies.
• Must have complete confidentiality regarding GuideStone business matters.
• #LI-Hybrid
• #LI-HM1

Benefits

Additional Information

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 - Investments reports directly to the Chief Compliance Officer ("CCO") of GuideStone Investment Services ("GSIS"). This position is responsible for day-to-day compliance functions supporting the GSIS 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)

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