Senior Compliance Manager Mutual Funds

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Senior Compliance Manager, Mutual Funds
The candidate will be conducting desk-based compliance and ODD reviews of prospective and current sub-advisers to mitigate compliance, reputational and operational risk. Performing desk-based compliance and ODD reviews of service providers (including distributor, transfer agent, accounting agent and administrator) to ensure both that expected service level requirements are met and that their compliance policies and procedures are adequate and effective in their operation. Conducting both on-site and virtual due diligence meetings with sub-advisers and service providers. Supervising compliance analysts as they assist with the due diligence and oversight of sub-advisers and service providers. Maintaining best practices in order to enhance and apply a risk-based compliance and ODD framework. Producing and delivering reporting to the Public Investments Subcommittee of the Investment Management, Allocation and Risk Committee (IMARC). Implementing, under the supervision of the CCO, the compliance programs of GSCM and GuideStone Funds, including written policies and procedures designed to prevent violations of the federal securities laws, and other applicable laws and regulations. Testing, auditing and reviewing written policies and procedures, and designing compliance tests, audits and reviews for compliance analysts to perform. Overseeing portfolio compliance monitoring for adherence to legal and regulatory requirements. Training employees on key policies and procedures. Reviewing, and supervising the review of, marketing materials for compliance with applicable laws and regulations. Monitoring ongoing legal and regulatory developments affecting registered investment advisers and mutual funds. Preparing materials for, and occasionally attending and presenting at, meetings of the Compliance and Risk Committee, and the Board of Trustees of GuideStone Funds.

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