Compliance Associate
4 weeks ago
Guidepoint is seeking a seasoned Compliance Associate to join its Global Compliance Department. This skilled professional will assist in all aspects of Guidepoint's compliance program, providing guidance to business colleagues on complex compliance issues.
Key Responsibilities:
- Provide initial and ongoing training for client interfacing employees
- Respond to daily questions from sales and service teams
- Conduct compliance portal overviews for prospective and existing clients
- Implement client-related protocols into our proprietary database
- Assist the technology team in implementing compliance-related controls
Requirements:
- Bachelor's Degree required, demonstrating a strong level of achievement
- Minimum of 2+ years of regulatory compliance experience in financial services (not KYC/AML)
- Proactive and self-motivated
- Experience using compliance search tools
- Knowledge of financial industry regulations and due diligence preferred
- Exceptional analytical skills
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 turn answers into action.
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.
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