Compliance Manager

  • Guideline
  • San Mateo, CA, USA
  • Sep 13, 2018
Full time Compliance Legal

Job Description

At Guideline, we’re helping Americans save for a better future. Guideline is the only 401(k) provider with a fee-free, full-stack 401(k) offering that automates plan administration and compliance with a platform that directly integrates with many of the most popular payroll providers. 
By building transparent and first-of-its-kind software, the Guideline team is combatting what’s unfortunately become the retirement industry status quo -- legacy providers have put profit over the interests of employees, abandoning the goal of the programs in the first place: to give employees the opportunity to save as much as possible for retirement. 
With over 3,000 clients and hundreds of millions of dollars in assets under management in just a couple years of operations, we’re well on our way to making smart retirement planning easy for everyone.

Job Description
As a qualified plan administrator and SEC-registered investment manager, Guideline is committed to adherence with regulatory and ethical standards in the delivery of our services.  
Guideline is seeking an experienced Compliance Program Manager to help manage and scale our compliance program for our investment management practice, which provides investment management and robo-advisory services for 401(k) retirement plans. 

You will be responsible for ongoing monitoring, oversight and improvement of our compliance program, which include: annual review, updates and implementation of changes to company policies and procedures; review and analysis of employee securities trading activity, gift & political contributions, and outside affiliations; oversight of the customer complaint resolution process; managing annual and other required filings, including annual Form ADV filing, preparation and filing of Form U4 applications; ensuring business records are properly maintained and archived; protecting customer information; conducting risk assessments; lead internal investigations; and develop internal training and education materials and conduct employee trainings.  
You will also work closely with our marketing and product teams to ensure advertising activities adhere to applicable rules under the Investment Advisers Act of 1940.  In carrying out these duties, you will proactively identify opportunities to implement processes and practices to improve the day-to-day efficiency and effectiveness of the compliance program.
You will also have the opportunity to drive design, development, launch and growth of new lines of business in partnership with our product development team, including supporting the launch of Guideline for Advisers, which will enable Guideline to partner with independent investment advisers to provide retirement plan services. 
You will also monitor legal and policy developments, industry trends, and the competitive landscape to inform management regarding regulatory changes that impact our business and work collaboratively with business partners and executive leadership to ensure the compliance program is designed to help drive our business objectives.
  • B.A. or B.S. Degree
  • FINRA-licensed (Series 65 or 66), with a minimum 3 years of regulatory compliance experience 
  • Ability to communicate effectively with senior management, business, and technology teams verbally and in writing
  • Exceptional organizational and analytical skills
  • Demonstrated ability to work efficiently, balance multiple tasks, and identify and prioritize key deliverables in a fast-paced environment
  • Proven ability to work independently, as part of a team, and collaborate effectively across groups; and lead and motivate others
  • Uncompromising integrity and discretion
  • Ability to pass background and credit check for employment

  • $85K-125K DOE

  • Exempt

Reports To:
  • Chief Compliance Officer