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Compliance Associate

Compliance Associate

Guidepoint

2 - 7 years

8 - 9 Lacs

mumbai

Posted:1 day ago| Platform:

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Skills Required

analytical skills training due diligence finance compliance associate manager technology regulatory compliance research client interfacing financial services

Work Mode

Work from Office

Job Type

Full Time

Job Description

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:

Conducting Due Diligence of documents.
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)
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

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Guidepoint

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New York NY

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Compliance Associate