Guggenheim Services, LLC

E-Communications Compliance, Associate

Job Locations US-KS-Topeka
Posted Date 2 months ago(4/14/2023 11:35 AM)
Job Category
Position Type

Position Summary

Guggenheim Investments is seeking a motivated, self-directed professional to join its Compliance team. Reporting to Vice President of Electronic Communications Surveillance.This role presents an opportunity to grow in a fast paced organization while supporting a critical function that protects our clients’ interests.


The position is hybrid and candidates may be  located in Topeka, Kansas, Chicago or New York.

Essential Job Functions

  • Review E-communication items to determine if normal course of business or identify any potential:
    • Violations of firm policy, procedures (Electronic Use Policy / Information Security Policy / Public Relations Policy / Social Media Policy / Non-Discrimination & Harassment Prevention Policy / Mobile Device Policy) and all regulatory requirements
    • Presence of any inappropriate or unapproved content
    •  Any other potential risk to the firm or clients:
      • Use of Off-Platform methods of communication for business purposes
      • Trade or trade related errors
      • Potential Code of Ethics violations
      • Sending of any work-related information to employee’s personal email
      • Exaggerated, unwarranted or misleading statements or claims made to customers
      • Disclosure of Firm or customer trading activity or positions to counterparties
      • Unauthorized dissemination of third-party material outside the Firm
      • Unauthorized communication or receipt of inside or MNPI to or from any third-party
      • Dissemination of unapproved marketing or presentation materials
  • Retain documentation related to each E-Communications case review to include emails, review notes, attachments, description of actions taken – in accordance with Books and Records requirements
  • Perform ad-hoc search requests of E-Communications and provide results for review or review for potentially relevant communications.
  • Review and enable items added to the Spam Filter in the E-Communications review system.
  • Assist with data collection and analysis for various regulatory filings including those associated with Section 13 and Treasury International Capital.
  • Prepare Schedule 13g filings as needed.

Preferred Qualifications

  • Self-starter with excellent organizational and communication skills
  • Strong attention to detail

Basic Qualifications

  • Bachelor's Degree
  • 2+ years of industry experience

Salary Details

Annual base salary between $70,000 and $80,000.

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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