Compliance and Legal Analyst

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 (“Analyst”) reports to the Deputy Chief Compliance Officer – Capital Management, in support of the compliance programs of GuideStone Capital Management, LLC (“Adviser”) and GuideStone Funds (“Funds”). The Analyst is responsible for performing compliance tasks under the supervision of the Deputy Chief Compliance Officer – Capital Management. These tasks include the following essential duties.

What You'll Do

The essential duties and responsibilities include some or all of the following:

Advertising Review:

• Review of Fund and Adviser advertising for compliance with the Securities Act, the Investment Company Act, and the Investment Advisers Act, as well as SEC and FINRA rules

Compliance by Employees:

• Review communications (e.g., email, text, social media) of supervised persons of the Adviser

• Request and review required reports by access persons of the Funds and the Adviser under the Code of Ethics

• Monitor compliance by Adviser personnel with the political contributions policy

Compliance Program:

• Support review, testing and writing of compliance policies and procedures

• Support due diligence of sub-advisers and service providers (e.g., transfer agent, administrator and accounting agent, and distributor), including preparation of due diligence questionnaires (DDQs) and review of responses

• Support the development of compliance training

• Review and analyze compliance reports received from sub-advisers

Frequent Trading Report:

• Review of frequent trading reports and respond in accordance with the Funds’ policy

Mutual Fund Reporting:

• Review the Funds’ filings with the SEC on Forms 24F-2, N-1A, N-CEN, N-CSR, N-MFP, N-PORT, N-PX and Schedule 14C for compliance with SEC disclosure rules

• Review the Adviser’s filings on Forms 13F, 13H and ADV

Other:

• Prepare compliance reporting materials for meeting of the Funds’ Board of Trustees

Recordkeeping:

• Verify maintenance of required records in accordance with applicable laws and regulations for the Funds and the Adviser

• Review of Adviser and Funds vendor invoices, and tracking Adviser and Funds expenses against the annual budget under the supervision of the Managing Director, Compliance and Legal

What You'll Need

• Bachelor’s Degree

• Minimum 3 years’ experience in in-house compliance department, compliance consultant, or regulator, preferred

• Minimum 3 years’ experience in the investment management industry

• Competent regarding the Investment Company Act and the Investment Advisers Act

• General understanding of investments (stocks, bonds, derivatives) and investment managers

• Compliance Industry Certification (e.g., IACCP) a plus

• Experience with operational due diligence of investment managers a plus

• Facility with Microsoft 365 and Adobe

• Strong organizational and documentation skills

• Well-developed interpersonal skills and excellent communication skills, both oral and written, to interpret questions and assist others not familiar with complex legal terminology or issues

• Good analytical and decision-making capabilities

• A strong commitment to helping foster a culture of compliance

• Must have complete confidentiality regarding GuideStone business matters.

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