About the Position
Guggenheim Partners has a position in the shared services center for a motivated, self-directed associate to join its 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. 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
- 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 an investigative position.
- 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
About Guggenheim Investments
Guggenheim Investments is the global asset management and investment advisory division of Guggenheim Partners, with expertise in fixed income, equity, and alternative strategies. We focus on the return and risk needs of insurance companies, corporate and public pension funds, sovereign wealth funds, endowments and foundations, consultants, wealth managers, and high-net-worth investors. Our team of investment professionals performs rigorous research to understand market trends and identify undervalued opportunities in areas that are often complex and underfollowed. This approach to investment management has enabled us to deliver innovative strategies providing diversification opportunities and attractive long-term results.
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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