The Compliance Department is a collaborative team that proactively supports Guidepoints 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 Guidepoints compliance program which includes providing guidance to our business colleagues when dealing with complex compliance issues
What you'll Do:
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:
Bachelors Degree required demonstrating a strong level of achievement (Degree in Law/ LLB preferred)
Minimum of 2+ years of regulatory compliance experience in financial services
Proactive and self-motivated
Experience using compliance search tools
Knowledge of financial industry regulations and due diligence preferred
Exceptional analytical skills
What We Have:
Competitive compensation
Employee medical coverage
Central office location
Entrepreneurial environment, autonomy, and fast decisions
