Compliance Analyst

About the Position

Guggenheim Partners is creating a new position in the shared services center for a motivated, self-directed associate to join its growing Compliance team. The ideal candidate should be detail oriented, have strong written and verbal communication skills and the ability to partner with individuals across the firm. The Compliance Analyst will provide surveillance services to the compliance department and business supervision. Services will include, but not be limited to, monitoring electronic communication, trade surveillance, position limits, error reporting and regulatory reporting within the firm and reports to the site Supervisor under the Global Head of Compliance Technology and Surveillance. The Compliance role presents an opportunity to grow in a fast paced organization while supporting a critical function that preserves our client’s interests and those of Guggenheim.

The position will be based in Topeka and may require infrequent travel to other Guggenheim locations. The establishment of the shared services center of excellence allows the organization to best leverage employee skills and capabilities and gain scale efficiencies while establishing standard practices for the production of core business processes.

Specific Responsibilities Include

Electronic Correspondence

  • Conduct daily review of firm emails globally
  • Escalate suspect emails to appropriate supervisors or Compliance
  • Follow-up with supervisors as necessary or as directed by Compliance
  • Document review, escalation and follow-up
  • Review for HR and Compliance issues

Escalation and Follow-Up

  • Escalate HR issues identified through review to the HR department
  • Escalate Compliance issues identified through review to Compliance
  • Assist in follow-up of select Compliance issues detected on request
  • Contact employee to investigate questionable correspondence on request
  • Report findings to Compliance
  • Prepare ad hoc reporting as needed to follow up on repeat issues
  • Document issue and resolution where appropriate

Skills & Experience Required

  • Bachelor’s degree required and other advanced degree desirable
  • 1 – 3 years experience in the financial services, legal, or related industry
  • Email review and document production experience a plus
  • Proficiency with Microsoft Office software suite
  • Ability to exercise discretion and keep information confidential
  • Excellent written and verbal communication skills
  • High attention to detail and strong analytical and problem-solving skills
  • Ability to work independently and manage multiple projects
  • Must successfully pass a background and credit check

To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people, who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.

Guggenheim Partners is an Equal Opportunity Employer committed to a diversified and inclusive workforce.

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