- 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
- 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
- Competitive compensation
- Employee medical coverage
- Central office location
- Entrepreneurial environment, autonomy, and fast decisions
- Casual work environment
-
Compliance Associate
1 week ago
TIAA Mumbai, IndiaCompliance Associate · The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business p ...
-
Compliance Associate
2 weeks ago
Third Bridge Mumbai, IndiaCompany Description · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultat ...
-
Compliance Associate
3 weeks ago
Third Bridge Mumbai, IndiaCompany Description · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultat ...
-
Associate, Compliance
2 weeks ago
Ares Management Mumbai, Maharashtra, IndiaOver the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. T ...
-
Associate - Compliance
2 weeks ago
TIAA Mumbai, Maharashtra, IndiaAssociate - Compliance (Monitoring, Surveillance & Reporting) - IN · The role assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducib ...
-
Compliance Associate
2 weeks ago
Third Bridge Mumbai, IndiaCompany Description · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultat ...
-
Associate, Compliance
3 weeks ago
Ares Management Mumbai, Maharashtra, IndiaOver the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. T ...
-
Compliance Associate
1 week ago
Guidepoint Global Mumbai, India**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 Associate
2 weeks ago
dezerv. Mumbai, Indiadezerv. is India's first expert-led investment platform. dezerv. is co-founded by Sandeep Jethwani, Vaibhav Porwal, and Sahil Contractor. They have led and founded successful wealth management businesses and managed over USD 7 billion in assets. The dezerv. team brings together d ...
-
Associate, Compliance
3 weeks ago
Ares Management Mumbai, Maharashtra, IndiaOver the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. T ...
-
Compliance Associate
4 days ago
Third Bridge Mumbai, IndiaCompany Description · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultat ...
-
Compliance Associate
1 day ago
Third Bridge Mumbai, IndiaCompany Description · **Please be aware, this role is an entry level position and we will require you to be in our Mumbai office a minimum of 1 day a week.** · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right i ...
-
Associate, Compliance
1 week ago
Ares Management Mumbai, IndiaOver the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. T ...
-
Associate Compliance
5 days ago
Newfold Digital Mumbai, IndiaWho we are: · What you'll do & how you'll make your mark: · - Review and analyse online payments. · - Verify documents received as proof of payments and account ownership. · - Processing Domain Arbitration cases. · - Resolving Domain name ownership disputes. · - Monitor resource ...
-
Compliance Mortgage Associate
3 weeks ago
Koodoo Mumbai, Maharashtra, India**Compliance Associate**: · ***About Blenheim Chalcot** · ***Blenheim Chalcot is one of the leading venture builders in the world. We have been building exciting and disruptive businesses for over 20 years across sectors including FinTech, EdTech, GovTech, Media, Sport, Charity a ...
-
Associate Ecc Compliance
3 weeks ago
TIAA Mumbai, Maharashtra, IndiaCompliance Associate · The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business p ...
-
Corporate Compliance Associate
2 weeks ago
Ares Management Mumbai, IndiaOver the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. T ...
-
Compliance Audit Associate
2 weeks ago
Third Bridge Mumbai, IndiaCompany Description · - Third Bridge Connections provides private equity firms, hedge funds and strategy consultants with the information that they need to understand the value of their investment opportunities. · - Our vision for delivering deep insight and unbiased market intel ...
-
Compliance Operations Associate
1 week ago
Third Bridge Mumbai, IndiaCompany Description · Third Bridge was founded on the belief that human insights drive intelligent investment decisions. · To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultat ...
-
Compliance Audit Associate
3 days ago
Third Bridge Mumbai, IndiaCompany Description · - Third Bridge Connections provides private equity firms, hedge funds and strategy consultants with the information that they need to understand the value of their investment opportunities. · - Our vision for delivering deep insight and unbiased market intel ...
Mumbai Compliance Associate - mumbai, India - Guidepoint
Description
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:
What You Have:
What We Have:
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.
Guidepoint is an equal opportunity employer and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
#LI-DN1
#LI-Hybrid