Regulatory Compliance Specialist for Financial Services

3 days ago


Shanghai, Shanghai, China Guidepoint Full time

At Guidepoint, a leading research enablement platform, we 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.

We are seeking a seasoned Regulatory Compliance Associate to join our Global Compliance Department. This skilled professional will assist in all aspects of Guidepoint's compliance program, providing guidance to our business colleagues on complex compliance issues.

Key Responsibilities:

  • 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

About the Role:

This is a challenging opportunity for a proactive and self-motivated individual with a strong background in regulatory compliance. The successful candidate will have at least 2+ years of experience in financial services, knowledge of financial industry regulations, and excellent analytical skills.

What We Offer:

  • A competitive salary of approximately $120,000 per annum, depending on experience
  • Flexible work arrangements
  • A dynamic and entrepreneurial environment
  • The opportunity to work with a leading research enablement platform
  • Ongoing training and development opportunities

About Guidepoint:

Guidepoint is a global leader in research enablement, delivering on-demand intelligence and research to leading organizations. Our success relies on the diversity of our employees, advisors, and client base, allowing 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.



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