Compliance Associate

4 weeks ago


Shanghai, Shanghai, China Guidepoint Full time

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.



  • Shanghai, Shanghai, China Guidepoint Full time

    Guidepoint serves as a comprehensive research enablement platform, aiming to provide real-time data and expert insights that empower clients to swiftly grasp global trends and make informed decisions. Supported by a premier network of experts worldwide, Guidepoint delivers critical background and dimensional information on any topic and research level,...

  • Compliance Director

    1 month ago


    Shanghai, Shanghai, China Pfizer Full time

    Job Title:Biopharma China Compliance Associate DirectorJob Summary:Pfizer is seeking a highly skilled Compliance Associate Director to join our Biopharma China Compliance team. The successful candidate will be responsible for managing proactive compliance programs and initiatives, providing compliance-related advice, project review, and support to business...

  • Compliance Director

    4 weeks ago


    Shanghai, Shanghai, China Pfizer Full time

    {"title": "Compliance Associate Director", "description": "Job Title: Biopharma China Compliance Associate DirectorReport to: Compliance Director for 3rd Party Compliance and Data AnalyticsLocation: Shanghai, ChinaAs a key member of the China Compliance team, you will be responsible for managing proactive compliance programs and initiatives, providing...

  • Compliance Specialist

    2 weeks ago


    Shanghai, Shanghai, China Guidepoint Full time

    Compliance Associate RoleAt Guidepoint, we are seeking an experienced Compliance Associate to join our Global Compliance Department. This role is ideal for a skilled professional looking to leverage their regulatory expertise to support our business initiatives and drive compliance excellence.Key Responsibilities:Provide guidance to colleagues on complex...

  • Compliance Director

    2 months ago


    Shanghai, Shanghai, China Pfizer Full time

    {"Job Title": "Biopharma China Compliance Associate Director", "Responsibilities": ["As a Compliance business partner, work closely with business leaders to advance a culture of integrity and compliance throughout the assigned business organizations.", "Maintain an understanding of key compliance risks relevant to the assigned businesses organization and...


  • Shanghai, Shanghai, China Optiver Full time

    Compliance Officer Role at OptiverOptiver is a global market maker with a presence in multiple continents, and we are seeking a highly skilled Compliance Officer to join our China Compliance team.We are committed to ensuring adherence to all regulatory requirements in capital market operations, particularly for equity trading and related derivatives trading....

  • Compliance Officer

    1 month ago


    Shanghai, Shanghai, China F3350 Franklin Templeton Private Fund Management (Shanghai) Co., Limited Full time

    Compliance Officer Job DescriptionAt Franklin Templeton, we're committed to advancing our industry forward by developing innovative solutions to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering a range of opportunities to help investors succeed.Key...

  • Compliance Officer

    1 month ago


    Shanghai, Shanghai, China F3350 Franklin Templeton Private Fund Management (Shanghai) Co., Limited Full time

    Job Title: Compliance OfficerAt Franklin Templeton, we're committed to advancing our industry forward by developing innovative solutions to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering a range of opportunities to help investors succeed.Job Summary:We're...


  • Shanghai, Shanghai, China Thermo Fisher Scientific Full time

    Job DescriptionAs a Trade Compliance Operation Specialist at Thermo Fisher Scientific, you will play a critical role in ensuring the company's import and export operations comply with regulatory requirements. Your expertise in customs procedures, HTS classification, and import regulations for biological and chemical reagents will be essential in navigating...


  • Shanghai, Shanghai, China Pfizer Full time

    Job Title: Biopharma China Compliance, Associate DirectorReport to: Compliance Director for 3rd Party Compliance and Data AnalyticsLocation: Shanghai, ChinaAs the Associate Director of China Compliance and Risk Management, you will be responsible for managing proactive compliance programs and initiatives, providing compliance-related advice, project review,...

  • Compliance Officer

    2 weeks ago


    Shanghai, Shanghai, China Bosch Full time

    Job Title: Compliance CounselAbout the RoleThe Compliance Counsel will play a crucial role in ensuring Bosch China's compliance with relevant laws and regulations. This position will work closely with the Compliance Officer, China, to ensure that company-wide policies and procedures are being followed, and that behavior throughout the organization is ethical...


  • Shanghai, Shanghai, China Pfizer Full time

    Job Title: Biopharma China Compliance Associate DirectorReport to: Compliance Director for 3rd Party Compliance and Data AnalyticsLocation: Shanghai, ChinaThe Associate Director of Compliance and Risk Management will be responsible for managing proactive compliance programs and initiatives, and providing compliance-related advice, project review, and support...


  • Shanghai, Shanghai, China Optiver Full time

    About the RoleWe are seeking a highly skilled and experienced Compliance Officer to join our China Compliance team at Optiver. The ideal candidate will possess a deep understanding of local equity and derivatives market rules and regulations, and the ability to effectively provide trusted compliance support in a fast-paced environment.Key...


  • Shanghai, Shanghai, China Guidepoint Full time

    About Guidepoint: Guidepoint serves as a comprehensive research enablement platform, dedicated to equipping clients with real-time data and expert insights to facilitate informed decision-making. Supported by a premier network of experts, Guidepoint provides critical background and dimensional information on a wide array of topics and research levels,...


  • Shanghai, Shanghai, China Bosch Group Full time

    Job DescriptionThe Bosch Group seeks a highly skilled Compliance Counsel to ensure company-wide compliance with relevant laws and regulations, ensuring that company policies and procedures are being followed, and ensuring that behavior throughout the organization is ethical and consistent with the Company's Code of Conduct and business ethics.Key...


  • Shanghai, Shanghai, China Thermo Fisher Scientific Full time

    Position Overview:The Compliance Specialist will play a crucial role in ensuring that all labeling for non-medical device products meets regulatory standards and is accurately represented in Chinese. This position requires a detail-oriented individual who can effectively collaborate with various teams and stakeholders.Key Responsibilities:Design and develop...


  • Shanghai, Shanghai, China Thermo Fisher Scientific Full time

    Position Overview:The Compliance Specialist is integral to ensuring that all labeling for non-medical device products meets regulatory standards and is accurately represented in Chinese. This role involves a variety of responsibilities aimed at maintaining compliance and quality in product labeling.Key Responsibilities:Design and develop Chinese labels for...


  • Shanghai, Shanghai, China Guidepoint Full time

    Guidepoint serves as a comprehensive research enablement platform, dedicated to providing real-time data and expert insights that empower clients to swiftly grasp global trends and make informed decisions. Supported by a premier network of experts, Guidepoint delivers crucial background and dimensional information on any topic and research level, enabling...


  • Shanghai, Shanghai, China HSBC Full time

    Overview: The Compliance function is integral to managing regulatory and financial crime risks across the organization. Our team collaborates with various specialized units to navigate the intricate regulatory environment, ensuring that our operations align with legal standards while promoting sustainable growth and fair customer service. Position Summary:...


  • Shanghai, Shanghai, China TE Connectivity Full time

    About the RoleWe are seeking an experienced Global Trade Compliance Senior Manager to join our team at TE Connectivity. The successful candidate will be responsible for leading our trade compliance efforts and ensuring that our global trade operations are in line with all relevant regulations and laws.Key ResponsibilitiesDevelop and implement a comprehensive...