Senior Advisory Operations Analyst

GuideStone • Dallas, TX

19d • 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
• Possession of or ability to obtain FINRA securities registrations, preferred
• 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.
• Knowledge of FINRA Web CRD/IARD, MyComplianceOffice, Smarsh a plus
• Familiarity with variety of investments, particularly mutual funds, separately managed accounts and private alternatives.
• 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

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.

Benefits

• We offer employees a generous benefits package, flexible work schedules, the opportunity to be involved in community outreach and tuition reimbursement.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 251-500 employees