Senior Advisory Operations Analyst

GuideStone Financial Resources•Dallas, TX

42d•Hybrid

About The Position

This position will support the daily operations and compliance programs of GuideStone Advisors, an SEC registered investment advisor, and its affiliated broker/dealer. The focus will be on supporting and enabling GuideStone Advisors to continue to rapidly grow and expand our service offerings to faith-focused investors.

Requirements

Bachelor's degree in Finance or related field.
5+ years in advisory or broker/dealer operations
Knowledge and overall understanding of the securities industry, compliance rules and regulations, risks and product suitability
Highly competent with Microsoft Office Suite (especially Excel).
Familiarity with Orion Advisor Technology or other back-office advisor technology.
Familiarity with Schwab Advisor Services or other RIA custodial platforms.
Strong analytical skills and decision-making ability.
Strong written and oral communication skills.
Strong attention to details.
Demonstrated strong work ethic with the ability to set priorities, meet deadlines and handle multiple projects in a rapidly changing environment.

Nice To Haves

Possession of or ability to obtain FINRA securities registrations, preferred
Knowledge of FINRA Web CRD/IARD, MyComplianceOffice, Smarsh a plus
Familiarity with variety of investments, particularly mutual funds, separately managed accounts and private alternatives.

Responsibilities

Trade execution and portfolio management
Client onboarding, implementation, and maintenance
Client reporting
Billing
Support the GSA Investment Committee
Document the Committee's decisions.
Implement the Committee's decisions with the help of the GSA Operations team.
Support GSA Compliance
Assist in the overall administration of the advisor and broker/dealer compliance programs.
Assist in forensic testing and documenting registered rep and firm compliance with securities laws.
Assist with registration of new adviser and registered rep employees.
Assist with monitoring compliance systems and performing other compliance tasks as assigned
Identify process improvements and continually gain efficiencies.
Design, analyze and provide relevant operational reporting to management.
Support the team of advisors with complex trade execution and establishment of investment strategies for our clients.