Director, GSCM Compliance

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.

 

 

The Director, GSCM Compliance serves as the Chief Compliance Officer of GuideStone Capital Management, LLC (“GSCM”), a registered investment adviser, and GuideStone Funds (“GSF”), a family of mutual funds, and will lead and oversee compliance programs for registered funds and an investment adviser within a faith-based financial services organization. 

This role ensures adherence to regulatory requirements, internal policies, and industry best practices while supporting the organization’s mission to serve faith-based institutions and their staff. The Director will collaborate with legal, risk management, operations and investment teams to maintain robust compliance frameworks and safeguard investor interests. Strong leadership, regulatory expertise, and commitment to ethical standards are essential for success in this position. We serve those that serve the Lord with the integrity of our hearts and the skillfulness of our hands. (Psalm 78:72)

 

What You'll Do

• Own and oversee the end-to-end investment advisory and mutual funds compliance program (Investment Company Act, Investment Advisers Act, and other applicable laws), including policy governance, monitoring plans, testing, and documentation.

• Lead compliance risk assessment and control testing for investment guidelines, liquidity risk management, valuation oversight, fee/expense controls, and distribution/marketing rule compliance.

• Serve on key governance committees (e.g., Valuation, Liquidity Risk Management, Sarbanes-Oxley Disclosure, Best Execution, Derivatives Risk Management, Investment committees), prepare and review materials, escalate issues, and drive remediation plans with accountable owners.

• Oversee service providers and sub-advisers (due diligence, 38a-1 annual reviews, SOC report analysis), and address findings through corrective action plans.

• Monitor regulatory developments and SEC exam readiness, conduct mock audits, manage regulatory inquiries/exams, and brief senior leadership and the GSF Board on impacts.

• Advise business, distribution, and marketing teams on compliant fund launches, share class changes, marketing review, faith-aligned investment screens, and investor communications.

• Develop training and culture of compliance for investment, operations, and distribution teams—tailored modules, periodic refreshers, and targeted training for higher-risk processes.

• Report to the GSF Board of Directors and executive leadership on compliance metrics, breaches, customer complaints, emerging risks, and remediation status; craft clear, decision-useful dashboards.

• Serve as the liaison with internal audit and legal.  Manage regulatory examinations and relationships.

• Manage and develop a team of Compliance professionals.

• Manage participation in compliance-related business and technology projects.

• Collaborate with internal and external business partners to include other GuideStone teams, third-party service providers, and sub-advisers.

• Establish and continuously improve compliance policies,  procedures, and controls.

• Foster a culture of ethical conduct and fiduciary responsibility, consistent with the organization’s mission to serve faith-based clients.

 

What You'll Need

• 10 to 15 years of progressive compliance experience in registered funds and investment advisers within the financial services industry, including leadership of compliance programs and teams.

• Bachelor’s degree required in finance, accounting, business, economics, or related field (advanced degree, JD, or relevant certifications such as IACCP/CFA/CPA strongly preferred).

• Expert command of regulatory frameworks governing investment advisers and registered funds (SEC Investment Advisers Act, Investment Company Act, state securities laws) with proven ability to interpret, operationalize, and evidence compliance.

• Registered fund product and market expertise (mutual funds, ETFs) and related operational practices (best execution, allocations, valuation, marketing/disclosure).

• Compliance program design and testing mastery, including risk assessments, control mapping, surveillance/testing plans, compliance calendars, policy governance, and remediation management.

• Regulatory exam and audit leadership, adept at managing SEC/state exams, internal audit, and external reviews—crafting responses, coordinating evidence, and driving corrective actions.

• Front-line advisory capability for new products/mandates, marketing content, contracts (e.g., IMAs), distribution practices, and complex conflicts-of-interest scenarios.

• Technology and data proficiency with compliance tools (surveillance/monitoring, attestations/disclosures, workflow/evidence retention), and ability to partner with IT on automation and data quality.

• Exceptional communication and stakeholder influence, able to brief executives/boards, coach investment and sales teams, and translate regulatory requirements into practical, mission-aligned operations.

• Values-based/faith-aligned ethics orientation, with experience integrating faith-based investment policies (e.g., screens, stewardship principles) into compliance controls and training.

• People leadership and change management—hiring, developing, and directing teams; prioritizing work across multiple initiatives; driving regulatory change programs to completion.

• Training and culture building—designing and delivering targeted compliance education (insider trading, conflicts, anti-fraud, fiduciary duty) and reinforcing a strong control environment.

• Vendor/outsourcing oversight—due diligence and ongoing monitoring of sub-advisers, distributors, and service providers for contractual and regulatory compliance.

• Strong analytical, organizational, and project management skills, with disciplined documentation, metrics/KRIs, and timeline execution under tight regulatory deadlines.

• Travel is required up to 10% annually.

• Proficient skills in MS Office and appropriate GuideStone system applications.

• Must have complete confidentiality regarding GuideStone business matters.

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