Compliance Analyst - Guideline

Guideline is looking for a Compliance Analyst to join the Compliance team. 

What will you be working on?

We are seeking a Compliance Analyst to join our Compliance Team. This person will work closely with the Compliance Team to help maintain and implement the compliance program and drive adherence with applicable laws, regulations, and regulatory guidance. Our ideal candidate has an eagerness to develop their career in the financial services industry, would love to grow in a dynamic, fast-paced environment with a tight-knit, collaborative team, and is excited to help Guideline make affordable retirement benefits accessible across the nation. 

Responsibilities

• Support the Compliance Team with implementing and overseeing compliance programs as required by Rule 206(4)-7 of the Investment Advisers Act of 1940;
• Collaborate with senior team members by providing support for external collateral review and routine internal audits;
• Participate in collaborative, company-wide meetings, compliance training sessions, and firm-wide initiatives;
• Assist with drafting compliance reports and corrective action/remediation plans by providing testing data, observations, and identification of significant findings;
• Perform review and analysis of documentation as it relates to Anti-Money Laundering, Know Your Client, and Third-Party Due Diligence programs;
• Provide general administrative support to the Compliance team, while interacting cross-functionally with other departments; 
• Lead projects and monitor timelines to ensure timely execution, especially with respect to audits, document requests, and other special projects;
• Exercise strong agility and adaptability in assigned responsibilities and tasks; and 
• Promote risk awareness and foster a culture of compliance throughout the firm.

The Team

We are a fast-paced, detail-oriented group that fosters a culture of compliance and collaborates with team members across the organization.

Required Qualifications

• Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934);
• 0-3 years relevant compliance experience at an SEC registered investment advisor or broker-dealer;
• Strong collaboration skills and comfort level talking to different teams and levels;
• Well-organized, with a sharp eye for detail;
• Excellent problem solving, analytical ability, oral and written communication skills;
• Ability to effectively interact with senior/executive management;
• Ability to exercise discretion and make independent judgements;
• Highly motivated and goal oriented; volunteers for and shows initiative on tasks and projects;
• Bachelor’s degree required.

More About Guideline 

Everyone should have a simple, affordable way to save for retirement. At Guideline, our plans are low cost and highly automated. This makes it easy for companies to offer a valuable benefit—and easy for people to invest in their financial future with confidence.

Offer Package 

The salary for this position is $65,000 - $70,000 annually.

Additional benefits:

• Flexible vacation policy
• Company equity
• 401(k) with matching contributions
• 100% paid employee insurance coverage
• Annual learning and development stipend
• Parental leave
• Sabbatical after 5 years of employment

Guideline provides equal employment opportunities to all employees and applicants for employment without regard to race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Employment open to residents of CO, FL, ME, MD, MA, NC, TX, and WA. Guideline is committed to protecting the privacy and security of the personal information of our applicants. Please refer to Guideline's Privacy Policy for information about our privacy and security practices.

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Last updated: 7 hours ago