Experienced Associate, Vice President - (RIA) Compliance

Job Description:

Experienced Associate, Vice President - (RIA) Compliance

Guggenheim Securities

Position Summary

Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background.

Essential Job Functions

• Establishment and day-to-day management of the compliance program
• Draft Annual Compliance Report
• File Form ADV
• Principal compliance advisor to the warehouse lending business

Preferred Qualifications

• At least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plus
• Experience with and knowledge concerning structured credit transactions
• Experience with and knowledge of the Investment Advisers Act of 1940
• Strict attention to detail combined with excellent prioritization and organization skills
• Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately
• Strong problem-solving skills and demonstrated ability to take initiative
• Willingness to roll up sleeves to perform all responsibilities needed to ensure success

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 $150,000 and $180,000.
• 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.

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.