About the Position
Guggenheim is seeking a seasoned investment compliance professional to join its compliance team. In this senior role, you will report to the General Counsel for Guggenheim Life and Annuity Company, and will be responsible for supporting various operating business units, including the Investment Team, Treasury and Investment Accounting. In addition to established organizational skills, the successful candidate will (i) demonstrate an ability to manage and track various open tasks and assignments independently, (ii) have experience with drafting and maintaining corporate legal documents, and (iii) be comfortable interacting with senior level attorneys and executives. The ideal candidate would also have familiarity with “know your customer“ (“KYC”) documentation and processes, and experience with private investment and derivatives transactions.
This role presents an opportunity to grow in a dynamic growing organization and department. The position is located in Indianapolis, IN.
Specific Responsibilities Include
Coordinates with Investment Team to review, complete, organize, and maintain confidential Company investment files, which includes reviewing KYC documentation related to Company investments, confirming and certifying receipt of required documentation, and completing and archiving related checklists. Develops and maintains procedures for cataloging, indexing, and naming documents filed in an electronic investment files database; regularly reviews permissions for access to database by Company personnel; provides guidance to Investment Team to ensure consistency in applying procedures to new and existing documents for historical purposes. Drafts legal memoranda regarding compliance of investments with applicable insurance law. Coordinates with other department representatives within Guggenheim Insurance to ensure newly created documents are appropriately cataloged and maintained and practices are applied consistently across insurance entities. Responds to inquiries and retrieves documents as requested by external auditors, insurance regulators and authorized Guggenheim Insurance personnel. Learns other legal/compliance department functions in order to back-up legal/compliance department members who have primary responsibility for these functions.
Skills & Experience Required
- BA degree in business or related field or equivalent work experience in a legal and/or business setting
- Paralegal certificate or equivalent college-level coursework
- A minimum of 3 years of experience in compliance and/or commercial transactions as a legal assistant/paralegal or executive assistant in a law firm or a publicly or privately owned company
- Experience supervising other professional staff and/or leading project teams across multiple departments is helpful but not required
- Insurance and/or financial services industry experience preferred
- Must demonstrate sound judgment and analytical skills with ability to work independently with a high degree of accuracy
- Excellent research and analytical skills to gather facts, analyze, organize, and summarize information
- Strong interpersonal and communications skills
- High degree of professionalism, trustworthiness, and a demonstrated ability to handle highly confidential and sensitive information
- Mastery of MS Office applications, including Word, Excel, Power Point, and Outlook; experience using database tools (e.g., Access) and document management systems (e.g., OpenText) preferred; working knowledge of internet, NILS, Westlaw or Lexis-Nexis, and/or other online legal information systems helpful
In addition, the ideal candidate will be or have:
- Exceptional attention to detail
- Ability to multi-task and committed to achieving results
- Professionalism, tact, diplomacy
- Sense of urgency and initiative
- Problems solving skills; analytical and critical thinking
- Professional communication and demeanor
- Quick learner
About Guggenheim Life and Annuity Company
Guggenheim Life and Annuity Company, a subsidiary of Guggenheim Partners, combines Guggenheim’s experience in managing assets for insurance companies with vast expertise and experience in life insurance industry. Guggenheim Life creates opportunities for clients to grow and maintain their wealth through innovative investment and insurance solutions. Our fixed annuity products are distributed through networks of independent marketing organizations and agents to customers in 48 states and the District of Columbia. For more information about Guggenheim Life and Annuity Company, please visit: www.guggenheimlife.com.
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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