Compliance Officer

Overview: 

Guidepoint is looking for a seasoned Compliance Officer to join its dynamic Compliance Department. This team is integral in supporting Guidepoint’s global operations by identifying and mitigating risks, advising on business initiatives, and training employees on compliance matters.

Join Guidepoint’s Compliance Department to advance your career in a supportive and innovative environment. If you’re motivated, experienced, and eager to make a significant impact, we encourage you to apply.

This position offers the opportunity to work remotely, with a high preference for candidates based in the US on the west coast/ near or in Phoenix, AZ.

What You’ll Do: 

• Training & Education:
  
  
  
  • Deliver initial and ongoing compliance training to client-facing employees
  
  
  • Conduct compliance portal overviews for both prospective and existing clients
    
  
  
  
  


• Support & Guidance:
  
  
  
  • Provide daily compliance guidance to client servicing employees.
  
  
  • Review transcripts of client generated content and Guidepoint sponsored teleconferences to ensure adherence with Guidepoint’s Terms & Conditions, its policies and procedures
    
  
  
  
  


• Implementation & Integration:
  
  
  
  • Integrate client-related protocols into Guidepoint’s proprietary database.
  
  
  • Liaise with internal technology team to implement compliance related enhancements.
  
  
  • Identify and help integrate external vendors who support the Compliance Department in overseeing Guidepoint’s business operations.
  
  
  
  

What You Have: 

• Bachelor's degree from an accredited college/university


• Minimum of 5 years in a compliance-related role within the financial services industry (excluding KYC/AML)


• Proficiency with compliance search tools


• Strong knowledge of financial industry regulations and due diligence processes


• Proactive and self-motivated approach


• Exceptional analytical skills.

What We Offer: 

The annual base salary range for this position is $80,000-$100,000. Base salary may vary depending on job-related knowledge, skills, and experience, as well as geographic location. Additionally, this position is eligible for an annual discretionary bonus based on performance.

You will also be eligible for the following benefits:

• 15 PTO days, 10 legal holidays, and sick days


• Comprehensive medical, dental, and vision plans


• Will match up to 10% of employee contribution for 401(k), life insurance, paid time-off and parental leave plans


• Commuter benefits and a corporate gym rate


• Development opportunities through the LinkedIn Learning platform


• Free snacks and beverages in the office


• Friday happy hour and “Summer Fridays”


• Year-round corporate athletic league


• Casual work environment, team building, and other social events

About Guidepoint: 

Guidepoint is a leading research enablement platform designed to 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 to turn answers into action. 

Backed by a network of nearly 1.5 million experts and Guidepoint’s 1,300 employees worldwide, we inform leading organizations’ research by delivering on-demand intelligence and research on request. With Guidepoint, companies and investors can better navigate the abundance of information available today, making it both more useful and more powerful. 

At Guidepoint, our success relies on the diversity of our employees, advisors, and client base, which allows 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, regardless of background, identity, or experience. 

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