Full-Time

Anti-Money Laundering Compliance Officer

Confirmed live in the last 24 hours

Guideline

Guideline

201-500 employees

Affordable 401(k) and IRA retirement plans

Fintech
Financial Services

Compensation Overview

$122.5k - $154kAnnually

+ Equity (ISOs)

Senior

Remote in USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Data Analysis
Requirements
  • 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.
Responsibilities
  • 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.

Guideline.com provides affordable and customizable 401(k) retirement plans and Individual Retirement Accounts (IRAs) for businesses of all sizes. Their service simplifies the process of offering retirement benefits, making it accessible for small to medium-sized enterprises, including specific sectors like dental practices. Guideline manages retirement plans end-to-end, which includes automatic enrollment and compliance testing, while acting as a 3(38) fiduciary to ensure the best investment options for employees. The company operates on a subscription-based model with low monthly fees, allowing businesses to customize their plans with additional features like profit sharing and matching options. Guideline Pro is a platform designed for financial professionals, offering tools to help clients manage retirement plans effectively. The goal of Guideline is to make retirement savings easier and more affordable, helping more people prepare for their future.

Company Stage

Series E

Total Funding

$329.8M

Headquarters

San Mateo, California

Founded

2015

Growth & Insights
Headcount

6 month growth

0%

1 year growth

3%

2 year growth

-6%
Simplify Jobs

Simplify's Take

What believers are saying

  • The launch of new products like the Starter plan and SEP IRA demonstrates Guideline's commitment to making retirement savings accessible to a broader audience.
  • Guideline's partnership with Vanguard to reduce fees by nearly 50% enhances its value proposition for cost-conscious clients.
  • The new mobile app and Enterprise tier offer a more seamless and customized user experience, likely increasing customer satisfaction and retention.

What critics are saying

  • The competitive landscape of fintech and retirement planning is crowded, requiring Guideline to continuously innovate to maintain its edge.
  • Managing a growing number of accounting professionals and advisors could strain resources and impact service quality.

What makes Guideline unique

  • Guideline's focus on affordable and customizable 401(k) plans for small to medium-sized businesses sets it apart from traditional retirement plan providers.
  • Acting as a 3(38) fiduciary, Guideline takes on the responsibility of managing investment options, ensuring they are in the best interest of employees, unlike many competitors.
  • The introduction of the Guideline Pro platform for financial and benefits professionals adds a layer of expertise and user-friendliness that is not commonly found in the market.

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Benefits

Flexible vacation policy

Company equity

401(k) with matching contributions

100% paid employee insurance coverage

Annual learning & development stipend

Parental leave

Sabbatical after 5 years of employment