Senior Advisory Operations Analyst

Posted on 02/21/2024Guide Stone - Dallas, TX

full

Company Description

Guide Stone

Position Description

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.

 

 

The Senior Advisory Operations Analyst 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.

 

What You Will Do

  • Support daily operations, including:

    • 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.

 

 

What You Will Need

  • 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.

 

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