Job Description:

Position Summary

Guggenheim Securities is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team in the New York office who supports the administration of Guggenheim Securities Compliance policies as it relates to personal trading and employee activities. The individual must be highly organized and detail oriented.

Essential Job Functions

Process personal account disclosure and pre-clearance formsReview Gift and Entertainment requestsReconcile personal trading data that comes via the electronic feed via our third party vendorManage the receipt of paper statements for brokerage accounts held at non-designated broker dealersReview employee certification documents on an annual basis and action accordinglyAnswer employee inquiries related to employee activities via the phone hotline and shared mailboxPerform Ad hoc reporting and complete projects related to data reconciliationAssist in streamlining workflows and document utilizing schematicsReview employee activity data/metrics and identify trends and patternsReview reported outside business activities and private investments and perform conflict checksPerform personal trading surveillance to ensure compliance with our personal trading policy.Deliver new hire Compliance training to newly onboarded employees.

Preferred Qualifications

Excellent analytical, reasoning, and problem-solving skillsExcellent verbal, written and interpersonal communication skillsAbility to multi-task, meet deadlines and handle multiple projects/prioritiesAbility to work well independently as well as collaborativelyDetail oriented and adaptableMotivated with a desire to learn and deliver resultsPrior work experience with Code of Ethics or Compliance is an added advantageKnowledge of the Financial IndustryPossess self-confidence and can interact successfully with all levels of personnelHave a strong sense of responsibility and responsiveness

Basic Qualifications

Bachelor’s/University degree3-5 years working in the financial industry.Proficiency in Excel and Microsoft Office Applications

Work Location 

Currently, this role is expected to be in the ­­­­New York office at least 4 days per week. 

Salary

Annual base salary between $115,000 and $120,000.The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

About Us:

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.

Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.