Compliance Associate

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:

• 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