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Senior Compliance Associate, IRA

Guideline, Inc.

in Remote / CA / CO / FL / GA / IN / MA / ME / MI / NC / NY / OH / OR / PA / SC / TX / WA

Logo for Guideline, Inc.

Guideline is looking for a Senior Compliance Associate, IRA (Individual Retirement Accounts) to join the Legal & Compliance team.

What will you be working on?

We are looking for a highly motivated, experienced, and collaborative individual to serve as a Senior Compliance Associate, IRA. You will serve as a leader and subject matter expert with respect to Traditional, Roth and SEP-IRA in a dynamic and energetic start-up environment.  You will have the opportunity to collaborate across the company, including with our marketing, sales, product development, and customer operations and support teams to facilitate thoughtful and practical solutions in support of Guideline’s IRA products and services. The ideal candidate will have prior experience with a startup in the tech or fintech space. 

  • Serve as a member of the Legal and Compliance team, aiding programmatic management of IRA efforts in line with regulatory requirements;
  • Develop effective and efficient policies and procedures to ensure IRA products and services are in compliance with applicable legal and regulatory frameworks;
  • Provide strategic advice and counseling to a variety of business units to ensure legal and compliance issues are considered at the outset of new IRA products, IRA enhancements, IRA offerings, and projects;
  • Stay abreast of relevant regulations, proactively identifying pain points and gaps in existing policy, and working across the company to educate, plan, and execute with respect to innovative solutions;
  • Identify growth opportunities within IRA products, and provide practical and thoughtful guidance with respect to the development and implementation of recommended improvements; and
  • Enhance training programs for Guideline personnel with respect to IRA products.

The Team

You will be a key member of Guideline’s Legal and Compliance team, which is composed of creative and collaborative compliance professionals and attorneys.  This team serves as a strategic advisor to Guideline’s business units, ensuring products and services are developed in compliance with legal and regulatory requirements, managing risk, monitoring compliance, and facilitating solutions to complex legal and regulatory issues.  This role reports to an Assistant General Counsel. 

What We're Looking For

  • Bachelor’s degree; 
  • Minimum of 3 years of relevant experience with demonstrated subject matter expertise with respect to IRA in a financial services company; 
  • Demonstrated knowledge of IRS and ERISA regulations and requirements;
  • Experience consulting with business partners;
  • Strong verbal and written communication skills, with the ability to distill complex subject matters into terms readily understood by team members of all levels of expertise;
  • Proven ability to work well independently, as part of team, and cross-functionally;
  • Exceptional organizational and analytical skills;
  • Ability to think strategically; and 
  • Collaborative, positive, and pragmatic.

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 25,000 clients and $5 billion in assets under management—and have raised $344M with top-tier investors.

Offer Package

  • Flexible Vacation Policy
  • Competitive Salary + Equity in the Company
  • 401(k) Matching
  • 100% coverage of Health / Vision / Dental
  • Generous parental leave policy

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.

How to Apply

Apply Now


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