Senior Compliance Analyst - Retail Investments

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.

 

 

Job Summary

The Senior Compliance Analyst for Retail Investments (“Senior Analyst”) is a valued team member who supports the management of the compliance programs of GuideStone Advisors and GuideStone Financial Services. Through these responsibilities, the Senior Analyst” will protect these GuideStone entities, the associated advisers and/or registered representatives and GuideStone Members and Ministry Partners in all retail investment activities. The Senior Analyst is integral in the development and monitoring of the regulatory compliance programs of these GuideStone entities. The Senior Analyst will report to the Senior Manager, Broker Dealer / Registered Investment Advisor Compliance (Senior Manager). 

 

What You'll Do

The Senior Analyst will be responsible for managing several compliance functions, tasks and systems under general oversight from the Senior Manager. These tasks, referred to generally as “Compliance Administration” will include, but not be limited to, the following:

• Assist in the review and development of appropriate written policies and procedures.

• Assist in identifying and remediating compliance program vulnerabilities and risks.

• Conduct testing of compliance programs and employee activities as required by the Investment Advisers Act Rule 206(4)-7 and FINRA Rules 3110 and 3120 for the respective entities.

• Monitor communications of representatives with the public for compliance with FINRA and SEC rules and regulations.

• Maintenance of employee registrations as required (registered representatives, registered investment advisers, etc.).

• Review of marketing materials for compliance with regulation standards including proper disclosures and disclaimers and file with FINRA when appropriate.

• Monitor representatives’ activities for compliance with regulatory rules and firm requirements.

• Manage compliance software apps and maintain associated vendor relationships.

• Monitor industry and regulatory developments for impact on the compliance program.

• Aid in the development and presentation of training programs in accordance with FINRA and SEC regulations and guidance.

• Maintain books and records as required under the relevant securities regulations.

• Ensure appropriate reporting is received from associated staff as required under regulations (outside business activities, brokerage account reporting, address changed, etc.).

• Assist in monitoring and reporting for the firm’s Anti-Money Laundering program.

• Assist in identifying and remediating compliance program vulnerabilities and risks.

 

What You'll Need

• Bachelor’s degree required

• FINRA SIE, Series 6 or 7, 63, and 24 or 26 preferred or capability to obtain required

• Competence and knowledge of FINRA rules and the Investment Advisers Act of 1940 preferred

• Ability to independently research, analyze and apply securities rules and regulations

• Ability to understand and apply practical reasoning to complex legal and compliance issues

• 5-8 years of compliance professional experience in the securities or investment industry preferred

• Proficient oral and written communication skills required

• Strong organizational skills required

• Experience with MyComplianceOffice, ACA ComplianceAlpha or similar compliance software preferred

• Proficient skills in MS Office and appropriate GuideStone system applications

 

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