AML Compliance Officer
Guideline, Inc.
What Will You Be Working On:
Guideline is looking for an Anti-Money Laundering (AML) Compliance Officer to join our Legal & Compliance team. You will report to the Chief Compliance Officer and be responsible for ensuring the firm’s compliance with regulatory requirements and consult with partners on projects in a startup environment.
You can expect to:
-Apply knowledge of regulatory compliance requirements, including but not limited to SEC, FINRA, and BSA to investment advisory, broker-dealer, banking services, and more;
-Monitor transactions and customer activities for signs of money laundering, fraudulent activity, and file suspicious activity reports (SARs) with authorities;
-Monitor industry trends and ensure compliance with all relevant securities laws, financial regulations, and industry standards as it relates to AML and Know Your Client (KYC) practices;
-Analyze and interpret complex regulatory requirements and communicate complex information effectively;
-Provide and assist with education and training provided to the organization and staff;
-Work cross functionally with external stakeholders throughout the organization related to AML, SARs, and KYC programs;
-Develop and maintain policies and procedures regarding the Firm’s AML, SARs, and KYC programs;
-Assist the Firm in building systematic reporting, monitoring and processes related to its AML, SARs, and KYC processes;
-Supervise the AML team within the Legal and Compliance department; and
-Provide senior management with reports on risk and controls and include corrective action/remediation plans by providing testing data, observations, and identification of findings.
What we're looking for:
-Bachelor's degree;
-Minimum of 10 years of relevant experience with demonstrated subject matter expertise;
-Demonstrated knowledge and understanding of SEC, FINRA and BSA regulations;
-CAMS certification;
-Flexibility and readiness to take on multiple roles, responsibilities, and projects;
-Experience in time management and prioritization;
-Experience consulting and collaborating as a partner;
-Experience communicating and distilling complex subject matters into terms understood by team members of all levels of expertise;
-Experience planning and taking tasks to completion within specified time frames;
-Experience completing tasks on your own, as part of team, and in collaboration;
-Experience working at a startup in the tech or FinTech space;
-A collaborative, positive, strategic, and practical individual.
Why Guideline:
Our values serve as a compass that guides our decisions and are considered non-negotiable, especially when it comes to hiring. Together with our employees, partners, and customers, we live these values every day. Everyone has hopes and dreams for the future, but it seems like only some of us are able to financially invest in them. That’s something we’ve made it our mission to solve - to help everyone arrive at a safe, secure retirement. Whatever type of work you choose, whatever the size of your business.
We’ve done this by building the easiest, most affordable, most comprehensive platform for investing in your financial future. It replaces doubt and fear with transparency, knowledge and understanding. It makes it possible, even enjoyable, to participate in a retirement plan as an employer, employee or partner. Because when you know how to safely, smartly invest today, you’ll be able to do more of what you love when the future arrives. And that is something everyone should be able to look forward to.
Here's why you should apply:
- Guideline is regularly recognized for helping everyone save -
- Fast Company, “Most Innovative Companies”
- Plansponsor, “Top 10 Recordkeepers”
- Forbes, “Fintech 50”
- World Economic Forum, “Tech Pioneer”
- Deloitte LLP, “Technology Fast 500”
Compensation:
At Guideline, we believe compensation should be fair and equitable. We take a data-driven approach to set our compensation bands; the successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, and work location. We are always evaluating our pay zones to be as competitive as possible, so keep in mind these may be subject to change in the future. Please speak with a recruiter for additional information regarding our tier locations and compensation philosophy.
Metro+:
The base salary range for this position is $139,000-$154,000 annually.
Metro:
The base salary range for this position is $131,000-$146,000 annually.
National:
The base salary range for this position is $122,500-$137,500 annually.
In addition to base salary, this position is eligible for equity in the form of Incentive Stock Options (ISOs).
At Guideline, base salary is just one component of the overall Total Rewards package offered to employees. All employees are offered comprehensive benefits and perks to help support you and your family.
- Flexible time off in addition to company holidays — We observe the NYSE Holiday Calendar
- 401(k) with matching contributions — We use our own platform and match 100% of the first 3% contributed, and 50% of the next 2% (for a max employer contribution of 4%)
- 100% employer-paid healthcare, vision, and dental insurance for employees and 70% coverage for dependents (Opt-out credit if all three plans are waived)
- Eligibility to participate in Health Savings Account and Flexible Spending Accounts
- Disability and life insurance options
- Mental health benefits, including therapy and coaching through Modern Health, for employees and their dependents
- Paid parental leave for birthing and non-birthing parents
- 1-month Sabbatical after 5 years of employment
- Annual learning and development stipend — We reimburse approved professional development expenses, up to $750 per employee per year.
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.Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Additionally, Guideline participates in the E-Verify program in certain locations, as required by law.
Guideline is an equal opportunity employer. Applicants in need of special assistance or accommodation during the interview process can reach out to peopleops@guideline.com.
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.
#LI-Remote
Expected Salary Range:
$122,500 - $154,000 USD