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Guideline is looking for a Director of Regulatory Compliance, Advertising and Communications , to join the Legal & Compliance team.

You will report to the Chief Compliance Officer.

What Will You Be Working On

We are looking for someone to serve as a Director of Regulatory Compliance, Advertising and Communications . You will guide the relationship between the Compliance and Marketing teams, review advertising materials and external collateral, 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 FTC to investment advisory, broker-dealer, banking services, and more;
• Develop, implement, and manage our advertising and communications regulatory compliance programs across the organization, including internal audits and investigations to identify potential compliance violations;
• Monitor and ensure compliance with all relevant securities laws, financial regulations, and industry standards as it relates to our advertising and external collateral materials;
• Analyze and interpret complex regulatory requirements and communicate complex information effectively;
• Review and approve company advertising, social media, and other forms of advertising content as well are various external collaboration in collaboration with cross-functional teams to ensure compliance requirements are met;
• Assist the Legal & Compliance team in providing guidance and training to staff across the organization;
• Supervise the Advertising and Communications team with the Legal and Compliance department;
• Identify issues that require ERISA subject matter expertise and collaborate with such experts;
• Help draft compliance reports and corrective action/remediation plans by providing testing data, observations, and identification of findings, delivering results to the Chief Compliance Officer;
• Streamline the review and approval processes throughout the organization and cross functional stakeholders

What We're Looking For

• Bachelor's degree;
• Minimum of 10 years of relevant experience with demonstrated subject matter expertise concerning compliance advertising review in a financial services company;
• FINRA Series 24
• Demonstrated knowledge and understanding of SEC, FINRA and FTC regulations;
• 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 a team, and in collaboration;
• Experience working at a startup in the tech or FinTech space;
• A collaborative, positive, strategic, and practical individual.

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.

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 $164,000-$206,333 annually.
  • Metro
    • The base salary range for this position is $154,500-$197,833 annually.
    • National
      • The base salary range for this position is $145,000-$186,667 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.

Expected Salary Range

$145,000 - $206,333 USD