Institutional Compliance Officer

About the Position
Guggenheim Investments is seeking an experienced candidate (Vice President/Director) to join its growing Institutional Compliance team. The Compliance professional will report to a senior member of the Institutional Compliance team based in Santa Monica and will be primarily responsible for advising on key regulatory issues associated with Guggenheim Investments' marketing, distribution and client services' activities worldwide, specifically related to separately managed accounts and private funds. The individual will also work closely with Compliance and Legal colleagues in New York, Chicago, London and Tokyo.
The ideal candidate will be a collaborative problem solver with a comprehensive legal and regulatory background and commercial mindset.
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 Santa Monica.

Specific Responsibilities Include

  • Day-to-day management of private funds compliance program:
    • Act as primary point of contact for ad hoc private fund issues.
    • Review fund documents for required disclosure updates, regulatory changes, etc.
    • Propose and implement changes to private fund policies and procedures, including by delivering training to other relevant departments.
    • Advise on regulatory considerations in connection with new institutional product launches and wind downs.
    • Manage Form D and Blue Sky filings.
    • Maintain records and documentation.
  • Advise on ad hoc project proposals, including tailored marketing decks, track records and required disclosures.
  • Advise on cross-border marketing issues, including by screening new prospects, providing guidance to the Distribution team on permitted practices and liaising with colleagues in overseas sales offices in London and Tokyo.
  • Day-to-day management of NFA/CFTC compliance program:
    • Take lead on annual requirements, including self-examination questionnaire.
    • Advise Distribution team of marketing restrictions and licensing requirements.
  • Review and comment on investment management agreements for new client accounts for regulatory compliance issues.

Skills & Experience Required
  • Minimum 8 years of institutional investment management-related experience at a law firm, in-house, or at a regulator.
  • Undergraduate degree required; JD strongly preferred.
  • Comprehensive knowledge of the Investment Advisers Act of 1940.
  • Experience with fixed income and alternative investments.
  • General understanding of NFA and CFTC issues.
  • 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.


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