Compliance Analyst - Investments

The Compliance Analyst – Investments reports directly to the Chief Compliance Officer (CCO) of Guide Stone Investment Services (GSIS).

• 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 Guide Stone’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; elevate 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.

• 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 Guide Stone 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 Guide Stone business matters.

• Generous benefits package.
• Flexible work schedules.
• Opportunity to be involved in community outreach.
• Tuition reimbursement.