Guggenheim Services, LLC

Control Room VP / Director

Job Locations US-NY-New York
Posted Date 2 months ago(3/29/2023 4:57 PM)
Job Category
Legal & Compliance Jobs
Position Type

Position Summary

Guggenheim Securities is seeking an experienced Control Room professional to join its Control Room team.  Reporting to the Head of Guggenheim Securities Control Room, this person will be responsible for partnering with business and corporate leaders of the Investment Bank, to ensure full understanding of compliance with relevant reputational, regulatory, and legal requirements applicable to the Control Room.  The successful candidate will interact with all levels of the organization, including executive management, and have the ability to thrive in a fast-paced environment. The Control Room Compliance Officer position is a hybrid in-office/work from home opportunity located in New York.

Essential Job Functions

  • Maintain the Firm’s watch and restricted list on a regular basis.
  • Conduct conflict reviews for transactional activity across all business units and advise business units on conflicts identification, review and escalation.
  • Analyze and apply appropriate restrictions on Sales, Trading and Research activities.
  • Oversee the Firm’s Investment Banking transactions and projects database.
  • Provide advice on and monitor interactions and communications between Research and Investment Banking.
  • Review research reports, public appearances and non-deal roadshow requests and advise the Research Department on required restrictions on its activities.
  • Process and manage ‘wall-crossing’ requests.
  • Assist in preparing responses to FINRA underwriter questionnaires.
  • Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.

Preferred Qualifications

  • Knowledge of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.
  • Track record of effective maintenance and monitoring of Firm information barriers.
  • A working knowledge of applicable FINRA rules, SEC rules and relevant industry best practices.
  • Excellent verbal and written communication skills and strong professional demeanor.
  • Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
  • Ability to understand and analyze compliance issues and recommend commercially effective solutions.
  • Willing to work flexible hours in hybrid in-office/work from home model and responding to periodic requests on weekends.
  • Proficient in Microsoft Office, including the ability to work comfortably within Excel.
  • Analytical skills required to keep up with the evolving regulatory and industry environment.
  • Results-orientated focus toward action and a track record of achievement.
  • Strong written, verbal, and presentation skills.
  • Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.

Basic Qualifications

  • Bachelor’s degree and 8+ years of experience as a Control Room / Investment Banking Compliance professional, within a large, full-service investment bank with a minimum of 4+ years of Control Room experience.
  • Knowledge of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.

Salary Details

  • Annual base salary between $200,000 and $225,000.
    The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
  • Currently, this role is expected to be in the New York office at least 2 days per week.

About Us

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Learn more at, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.


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