Vice President, Compliance
About the Position
Guggenheim is seeking a motivated, self-directed Vice President to join its Compliance team. This person will be responsible for various compliance policies and procedures supporting the Intermediary Distribution business. The successful candidate will have experience with mutual funds, closed-end funds, and ETFs from a financial services compliance perspective and be comfortable interacting with numerous stakeholders in a timely, accurate and confident manner. In addition to strong multitasking and problem solving skills, the ideal candidate will demonstrate an ability to roll up their sleeves and perform any needed tasks.
The Compliance role presents an opportunity to grow in a fast paced organization while supporting a critical function that preserves our clients’ interests and those of Guggenheim. The position is located in Rockville, Maryland.
Specific Responsibilities Include
- Assist in executing annual reviews pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 under the Advisers Act.
- Oversee administration of the Code of Ethics, including trade surveillance.
- Assist in preparation of Mutual Fund Board materials.
- Assist in conducting due diligence reviews of sub-advisers and service providers.
- Responsible for review and update of the compliance policies and procedures manual for the investment advisers and affiliated Guggenheim investment companies.
- Responsible for maintaining registration for Investment Adviser and mutual funds with the NFA and compliance with CFTC and NFA regulations.
- Represent Compliance on various firm project teams and committees.
- Interact with firm’s portfolio managers, traders, Fund Administration, Legal and Operations staff as needed.
- Perform any other functions which may be required to support the compliance program such as trade surveillance and compliance testing.
Skills & Experience Required
- Candidate must have an undergraduate degree with at least 7-10 years of experience in a compliance role.
- Experience managing a team is preferred but not required.
- Strong knowledge and understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Knowledge of the CFTC and NFA rules is ideal, but not required.
- Strong problem solving skills and demonstrated ability to take initiative.
- Organized, detail oriented and extremely thorough while having the confidence and communication skills to ensure work processes are completed accurately and timely.
- Ability to multi-task, prioritize, and meet deadlines.
- Experience managing projects or processes.
- Experience with a fixed income asset manager is preferred, but not required.
- Experience with StarCompliance and MS Office is preferred and ability to learn new systems quickly is required.
- 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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