Guggenheim Services, LLC

Senior Compliance Associate – RFP/DDQs

Job Locations US-NY-New York
Posted Date 1 month ago(4/18/2023 4:43 PM)
Job Category
Position Type

Position Summary

Guggenheim Investments is seeking an experienced Compliance professional to join to join our Institutional Compliance group. This position will be responsible for compliance reporting including client certifications, reviewing RFPs and DDQs, and reviewing and approving new business opportunities. 


The ideal candidate will be diligent, self-motivated, and experienced working with various stakeholders across all functions.


The position is based in our New York Office, but could also be based out of our Chicago or Santa Monica office. 

Essential Job Functions

  • Assist in ongoing development and support of our US and global compliance program for RIA Institutional Client Services team.
  • Manage the Compliance reporting process, including client certifications, DDQs and RFPs, and liaising with Client Services team, Operations, Legal, Portfolio Managers, Risk and other teams to obtain sub-certifications and facilitate appropriate questionnaire responses.
  • Manage the Investor Relations process of reviewing and providing approved responses for requests (DDQs, RFPs, and other questionnaires) pertaining to sensitive legal and regulatory matters.
  • Maintain and update Compliance and investor Relations approved questionnaire responses.
  • Review and approve new business opportunities and prospects, and for certain prospects (such as ERISA and Public Pension Plans, and their consultants), run appropriate checks with respect to Political Contributions Compliance team, Gifts & Entertainment, and or Lobbyist registration requirements.
  • Attend meetings and hold ad-hoc discussions with Institutional Distribution, Portfolio Managers, Legal and Operations staff and other teams, as needed, to understand new marketing initiatives and offer Compliance guidance.
  • Review materials that are prepared for client requests, provide comments and appropriate disclosures.  Escalate requests to Legal, Risk or Reporting for their review, as may be needed.

Preferred Qualifications


  • Excellent written communication skills and attention to detail
  • Experience working with stakeholders across different geographies
  • Strong technical skills, including Microsoft Office products

Basic Qualifications

  • Bachelor's Degree
  • 7+ years compliance experience with a registered investment adviser
  • Experience working with RFPs/DDQs

Salary Details

Annual base salary between $125,000 and $149,000.

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.

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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