Head of Transactional Compliance

About the Position

Guggenheim is seeking a self-directed, experienced candidate to join its growing Institutional Compliance team. Reporting to the Head of Institutional Compliance, the Compliance Managing Director will be responsible for ensuring Guggenheim Investments remains compliant with all regulatory requirements with respect to transactions and investments entered into on behalf of client accounts. He or she must have strong corporate finance and structured finance transactional experience with a knowledge of the Investment Advisors Act of 1940 (the 'Advisers Act') and the Investment Company Act of 1940 (the '40 Act'), likely gained either through transactional experience at a major law firm and/or at an institutional asset management firm with a focus on fixed income and alternative investment strategies.

The ideal candidate will seek and maintain up-to-the-moment market information on regulatory requirements and be able to make sound recommendations in line with Guggenheim's goals. In addition to strong multitasking skills and results-orientation, the ideal candidate will be a collaborative problem solver, with the ability to appropriately manage and represent the function to senior management.

This role presents an opportunity to support and grow with a critical function that preserves our clients', and thus Guggenheim's, interests in a dynamic environment. The position is located in New York.

Specific Responsibilities Include

  • Manage the Guggenheim Investments transactional compliance program, including a review of a broad variety of corporate finance and structured finance investments, including acquisition finance and leveraged loan transactions, direct corporate lending, CLOs and ABS.
  • Direct oversight of the Compliance conflicts function and related client/investor conflicts disclosures as well as restricted list program, cross trades and best execution.
  • Analyzing and opining on potential implications under the Advisers Act and 40 Act of investing in transactions originated and structured by Guggenheim and by third party investment banks or other channels.
  • Act as primary coordinator for transactional compliance reviews with internal and external Legal counsel as well as other Compliance team members with responsibility for Anti-Money-Laundering/Know-your-customer, ERISA and other functions.
  • Review current and prospective client materials relating to proposed or past transactions.

Skills & Experience Required

  • Minimum 12+ years of corporate/structured finance transactional experience combined with investment management and/or broker-dealer in-house Legal or Compliance experience, ideally within a fixed income/alternative asset manager.
  • Undergraduate degree required; JD required.
  • Understanding of and familiarity of the application of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 to fixed income and alternative asset transactions and investments.
  • Experience with regulatory issues associated with originating, structuring and investing client funds in private debt and other alternative investments would be valuable.
  • Understanding of and familiarity with the Securities Act of 1933 and the Securities Exchange Act of 1934, and in particular fixed income or alternative investment issuance and/or sales and trading issues, preferred but not required.
  • 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 any and all responsibilities needed to ensure success

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.

Meet Some of Guggenheim Partners's Employees

Maria G.

Investment Research Analyst

Maria works on the Macroeconomics and Investment Research Team in the Santa Monica Office. She analyzes financial trends to help Guggenheim identify optimal investment solutions and monitor risks for their clients.

Michael W.

Lead Data Architect

Michael provides Guggenheim’s various business units with the data they need to perfect their projects in the New York Office. It's Michael's responsibility to build intuitive data models that facilitate Guggenheim’s expert analyses.

Back to top