IB Compliance Associate

About the Position

Guggenheim Securities is seeking a motivated compliance professional to join its Investment Banking Compliance team. This person will work closely with and report to the Head of Investment Banking Compliance on a wide variety of regulatory and compliance matters relevant to the Firm's investment banking advisory and financing businesses. This is a growth opportunity with the potential for multiple career paths. The position is located in the Firm's New York Office.

Specific Responsibilities Include

  • Identify, analyze and actively address compliance matters relevant to "core" Firm policies and those specific to the investment banking advisory and financing businesses - on a proactive and reactive basis
  • Develop and implement appropriate control processes, including drafting/updating of corresponding policies and related training materials
  • Develop and conduct risk-based compliance tests of existing processes and procedures to identify potential gaps and enhancement opportunities
  • Liaise with compliance, legal and business colleagues covering research, control room, sales, trading and Central Compliance

Skills & Experience Required

  • 3-5 years of practical compliance experience in one or more relevant compliance coverage areas including: investment banking, capital markets/syndicate, conflicts, control room and/or research

The ideal candidate will also have:

  • Strong knowledge of the purpose and operation of broker-dealer information barriers, the need to safeguard confidential information and material, non-public information (and the difference between the two)
  • People skills, self-confidence and the ability to interact successfully (in person) with all levels of personnel
  • Excellent written and oral communication skills are a must
  • Ability to problem-solve on the fly, untangle issues and implement practical solutions to business and compliance matters
  • A strong sense of responsibility, responsiveness and hunger to learn and deliver results
  • Law degree and Series 7 or 79.

About Guggenheim Securities

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. Guggenheim Securities offers a full range of services that fall into four broad categories: Advisory, Sales and Trading, Financing, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Atlanta, Boston, Chicago, Los Angeles, and San Francisco.

About Guggenheim Partners

Guggenheim Partners is a global investment and advisory firm with more than $260 billion1 in assets under management. Across our three primary businesses of investment management, investment banking, and insurance services, we have a track record of delivering results through innovative solutions. With more than 2,300 professionals based in over 25 offices in six countries, our commitment is to advance the strategic interests of our clients and to deliver long-term results with excellence and integrity. We invite you to learn more about our expertise and values by visiting GuggenheimPartners.com and following us on Twitter at twitter.com/guggenheimptnrs.

1Assets under management are as of March 31, 2017 and include consulting services for clients whose assets are valued at approximately $59 billion.

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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