Senior Compliance Associate, Advertising Compliance
Guideline, Inc.
Location: Employment open to residents of CA, CO, FL, MA, MD, ME, NC, NY, TX, and WA.
Guideline is looking for a Senior Compliance Associate, Advertising Compliance to join the Legal & Compliance team. You will report to the Chief Compliance Officer.
What Will You Be Working On
We are looking for an experienced and collaborative individual to serve as a Compliance Associate, Advertising Compliance. You will drive the relationship between the Compliance and Marketing teams, review and approve advertising materials, and consult with business partners on strategic business initiatives in a startup environment. You can expect to:
Apply knowledge of securities products and investment advisory services;
Review and approve company advertising, social media, and other forms of advertising content in collaboration with the Marketing and Sales teams to ensure compliance requirements are met;
Identify issues that require ERISA and/or SEC subject matter expertise and collaborate with such experts;
Consult and educate business partners as to the effectiveness of regulations;.
Help draft compliance reports and corrective action/remediation plans by providing testing data, observations, and identification of significant findings;
Collaborate with team members to develop internal marketing and communication policies; and
In collaboration with the Chief Compliance Officer, conduct regular compliance review of company advertising and communications.
What We're Looking For
Bachelor's degree;
Minimum of 5 years of relevant experience with demonstrated subject matter expertise concerning marketing review in a financial services company;
Demonstrated knowledge of SEC and ERISA regulations;
Experience consulting and collaborating as a thought partner;
Experience communicating and distilling complex subject matters into terms readily understood by team members of all levels of expertise;
Experience effectively planning and taking tasks to completion within specified time frames;
Experience completing tasks on your own, as part of team, and cross-functionally;
Experience working at a startup in the tech or FinTech space;
A collaborative, positive, strategic, and practical individual.
More About Guideline
Technology is the backbone of what we do. It allows us to automate many 401(k) administrative tasks, integrate with leading payroll providers, and build affordable retirement plans for the smallest businesses. But our platform is powered by people—engineers, account managers, data analysts, retirement consultants, and many more. Together, we're creating a retirement platform that puts people first and empowers small business owners, their employees and the self-employed to not just retire, but arrive at a secure retirement. In just a few years of operations, we've grown to over 35,000+ clients and over $7 billion in assets under management—and have raised $344M with top-tier investors.
Offer Package
The expected Salary Range for this position is $70,000-$135,000 annually. Compensation is determined by numerous factors such as your qualifications, experience, and work location.
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.
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.