Senior Compliance Manager, Alternative Investments

Guidestone Financial Resources Dallas , TX 75201

Posted 2 months ago

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.

Basic Purpose:

The Senior Compliance Manager, Alternative Investments ("Senior Manager") will report to the Managing Director, Compliance and Legal, and will be directly responsible for the compliance and operational due diligence programs of GuideStone Financial Resources' Capital Management Division ("CMD"), and GuideStone Investment Services ("GSIS"), an exempt investment adviser to charitable institutions.

The essential duties and responsibilities are:

  • 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

  • Performing operational due diligence reviews of service providers (including investment consultant, transfer agent, accounting agent and administrator) to ensure that expected service level requirements are met

  • Conducting both on-site due diligence meetings and conference calls with the consultant, with other service providers, and with fund managers when necessary

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

  • Producing and delivering reporting to, and being a voting member of, CMD's Investment Management, Allocation and Risk Committee (IMARC), and GSIS' Institutional Portfolio Committee (IPC)

  • Developing a compliance program for CMD and GSIS, 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

  • Portfolio compliance monitoring (adherence to Investment Policy Statement (IPS) and client guidelines)

  • Training employees on key policies and procedures

  • Reviewing marketing materials for compliance with applicable laws and regulations

  • Monitoring ongoing legal and regulatory development affecting private institutional investment managers and charitable organizations

  • Preparing for, attending, and presenting at, GuideStone Financial Resources' Trustee Investment Committee (TIC) meetings and GSIS Board of Directors meetings

Requirements:

  • Bachelor's Degree

  • Master's Degree or Juris Doctor (J.D.), preferred

  • Compliance and/or Operational Due Diligence Industry Certification, preferred

  • Minimum 8 years' experience in compliance or operational due diligence at an investment management firm

  • Sophisticated familiarity with ODD reports, commercial legal reviews, front-office manager reports, private placement memoranda, limited partnership and subscription agreements

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

  • Thorough understanding of both the investment management industry and the laws applicable to private funds and their managers, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act of 1936, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 (and conditional exemptions therefrom)

  • Familiarity with the law applicable to and taxation of charitable organizations a plus

  • 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 with demonstrated leadership potential, including effective speaking skills

  • Travel to conduct on-site due diligence interviews, as requested (10-15%)

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

  • Must have complete confidentiality regarding GuideStone business matters

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Senior Compliance Manager, Alternative Investments

Guidestone Financial Resources