Overview
The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier compliance platform and we invite motivated professionals to join us and grow in this thriving environment.
Guidepoint is seeking a Compliance Associate to join its global Compliance Department. This skilled professional will assist in all aspects of Guidepoint's compliance program which includes providing guidance to our business colleagues when dealing with complex compliance issues.
What You'll Do:
- Conducting Due Diligence of documents.
- Provide initial and ongoing training for client interfacing employees
- Respond to daily questions from our sales and service teams
- Conduct a compliance portal overview to prospective and existing clients
- Implement client related protocols into our proprietary database
- Assist our technology team in implementing compliance related controls
What You Have:
- Bachelor's Degree required demonstrating a strong level of achievement (Degree in Law/ LLB preferred)
- Proactive and self-motivated
- Exceptional analytical skills
- Experience using compliance search tools
- Minimum of 2+ years of regulatory compliance experience in financial services preferred
- Knowledge of financial industry regulations and due diligence preferred
What We Have:
- Competitive compensation
- Employee medical coverage
- Central office location
- Entrepreneurial environment, autonomy, and fast decisions
- Casual work environment
About Guidepoint:
Guidepoint is a leading research enablement platform designed to advance understanding and empower our clients’ decision-making process. Powered by innovative technology, real-time data, and hard-to-source expertise, we help our clients to turn answers into action.
Backed by a network of nearly 1.5 million experts, and Guidepoint’s 1,300 employees worldwide, we inform leading organizations’ research by delivering on-demand intelligence and research on request. With Guidepoint, companies and investors can better navigate the abundance of information available today, making it both more useful and more powerful.
At Guidepoint, our success relies on the diversity of our employees, advisors, and client base, which allows us to create connections that offer a wealth of perspectives. We are committed to upholding policies that contribute to an equitable and welcoming environment for our community, regardless of background, identity, or experience.
Guidepoint is an equal opportunity employer and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
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