Compliance associate

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 forms
• Review Gift and Entertainment requests
• Reconcile personal trading data that comes via the electronic feed via our third party vendor
• Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers
• Review employee certification documents on an annual basis and action accordingly
• Answer employee inquiries related to employee activities via the phone hotline and shared mailbox
• Perform Ad hoc reporting and complete projects related to data reconciliation
• Assist in streamlining workflows and document utilizing schematics
• Review employee activity data/metrics and identify trends and patterns
• Review reported outside business activities and private investments and perform conflict checks
• Perform 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 skills
• Excellent verbal, written and interpersonal communication skills
• Ability to multi-task, meet deadlines and handle multiple projects/priorities
• Ability to work well independently as well as collaboratively
• Detail oriented and adaptable
• Motivated with a desire to learn and deliver results
• Prior work experience with Code of Ethics or Compliance is an added advantage
• Knowledge of the Financial Industry
• Possess self-confidence and can interact successfully with all levels of personnel
• Have a strong sense of responsibility and responsiveness
  
  

Basic Qualifications

• Bachelor’s/University degree
• 3-5 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 [email protected] 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.