Compliance Analyst, Institutional Investments

Published on 06/20/2024Guide Stone - Dallas, TX
Full Time


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 Compliance Analyst – Institutional Investments (“Analyst”) reports to the Senior Manager, Institutional Investments Compliance, primarily in support of the compliance and operational due diligence needs of GuideStone Financial Resources’ (“GSFR”) Directed Assets and GuideStone Investment Services (“GSIS”), an investment adviser to charitable institutions.


What You'll Do

Operational Due Diligence:

  • Evaluating initial and ongoing operational due diligence reviews by a consultant on private markets funds and managers (e.g., private equity, private debt and private real estate funds) to mitigate reputational and operational risk

  • Participating in due diligence meetings and conference calls with GSFR’s outside investment consultant, with other investment advisers, and with fund managers when necessary

  • Following best practices in order to maintain, enhance and apply a risk-based operational due diligence framework

  • Preparing reports for GSFR’s Investment Management, Allocation and Risk Committee (IMARC), and GSIS’ Institutional Portfolio Committee (IPC)

  • Assisting in the identification and assessment of GSFR’s Directed Assets and GSIS’ compliance and operational risks

  • Coordinating, delegating, supervising and communicating operational due diligence assignments to outside consultant

Third-Party Risk Management:

  • Assist with due diligence reviews of third-party service providers, including preparation of DDQs and risk rating of responses

  • Monitor, review and organize reports received from third-party service providers


  • Support the implementation of the compliance program for GSFR Directed Assets and GSIS

  • Test and audit policies and procedures

  • Monitor portfolio compliance for adherence to legal requirements and client guidelines

  • Review GSIS advertising and other communications for compliance with applicable laws and regulations

  • Verify maintenance of required records in accordance with applicable laws and regulations


  • Maintain project status information and monitor status of deliverables to business units

  • Assist with the implementation of web-based solution platforms


What You'll Need

  • Bachelor's degree

  • 3+ years experience in compliance, third-party risk management, or operational due diligence in the investment management industry

  • Experience with operational due diligence reports, private placement memoranda, limited partnership and subscription agreements, a plus

  • Familiarity with the business and regulation of investment advisers

  • Familiarity with charitable organizations

  • Ability to succinctly explain through both written and oral communications sound reasoning for recommendations related to alternative investment managers and funds and best practices

  • Strong analytical and writing skills

  • Highly organized and proactive, able to work independently on multiple projects while maintaining an appropriate level of transparency with management, escalating matters on a timely basis as needed

  • Team-oriented attitude

  • Actively contribute to departmental goals for process maturity and increased efficiencies

  • Ability to use Microsoft 365 and third-party web-based compliance and operational due diligence solutions

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



About Guide Stone

GuideStone is a diversified Christian financial services provider, offering retirement, insurance, investment management, property and casualty coverage, and executive planning products and services to the Southern Baptist and wider evangelical Christian community. GuideStone sponsors the nation’s largest Christian-screened registered mutual fund family and is located in Dallas, Texas.

LocationDallas, TX 75244

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