Compliance Officer

Overview:

Are you a compliance professional looking to take the next step in your career? Would you thrive in a collegial, team environment where you learn something new every day and are recognized for your individual contributions? Do you pride yourself on your analytical and communication skills? If so, the Compliance Analyst role at Guidepoint may be right for you.

Responsibilities:

Compliance sits at the center of the services that we provide to leading investment firms, consultancies, and corporations. As a Compliance Analyst, you'll help our clients and employees adhere to pre-established criteria governing client interactions with independent experts. In short, your job is to make sure that everyone plays by the rules.

To ensure that only the information that should get shared is actually shared, you'll monitor client interactions with experts across our service offerings: phone consultations, teleconferences, group meetings, and surveys. During your first weeks, you'll focus on the qualifications of Guidepoint's network of experts—conducting background checks and reviewing bios. As your training progresses, you'll take responsibility for spot-checking open and completed projects. You'll also guide Guidepoint's research teams on the application of custom compliance protocols, conduct internal training, and create training materials. Soon, you'll regularly communicate with your portfolio of clients via email, phone, and periodic in-person meetings.

Qualifications:

Analytical. Highly organized. Diplomatic. These four words describe some of the key strengths you bring to the workplace. You're as comfortable engaging with people as you are sitting behind a computer screen. Managers and co-workers commend your excellent verbal and written communication skills and note with amazement that no detail seems to gets past you. You easily juggle tight deadlines and multiple priorities. These challenges focus your efforts and spur you to develop smarter ways to organize your work.

Requirements

  • Bachelor's Degree required demonstrating a strong level of achievement
  • Minimum of 3+ years of compliance-related 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
  • Interested in continued learning and taking on additional responsibilities related to Guidepoint clients

Meet Some of Guidepoint's Employees

Donna K.

Research Analyst

As recent graduate, Donna is responsible for reaching out to experts who can help advise Guidepoints clients, facilitating those insightful interactions.

Nick T.

Strategic Partnerships Associate, Data Insights

Nick works to find companies with unique or otherwise valuable data sets, then negotiates and structures partnerships to use that data in order to inform, drive, and create research products.


Back to top