Guggenheim Services, LLC

Private Transactions Conflicts Officer

Posted Date 1 month ago(4/26/2023 10:22 AM)
Job Category
Position Type

Position Summary

Guggenheim Investments is seeking a Compliance Officer (and, if applicable, Regulatory Counsel) to join our Transactions Compliance group. This position will primarily be responsible for analyzing transactions for regulatory risks with a focus on conflicts of interest identification and mitigation. Additionally, the role may involve participation in trade surveillance, broker-dealer compliance, best execution, cross-trade review, trade allocation and other transaction-related regulatory and compliance matters.

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

The position is based in New York or Santa Monica and has the potential to be hybrid or, for the right candidate, fully remote.

Essential Job Functions

  • Support the ongoing development and application of the private transactions/conflicts of interest review process.
  • Maintaining the private transactions pipeline to facilitate Compliance pre-trade approval.
  • Reviewing private transactions.
  • Maintain the Conflicts team’s records.
  • Conduct ad hoc discussions with sector desks, PMs, traders, Legal and Operations etc. to understand proposed transactions, offer compliance guidance, etc.
  • Perform post-transaction surveillance and reporting tasks.

Preferred Qualifications

  • JD preferred.
  • Experience with fixed income transactions.
  • Experience with the Investment Advisers Act of 1940 and other securities laws.
  • Strong attention to detail.
  • Strong communications skills and team building focus.
  • Ability to work collaboratively with compliance, legal and business teams in New York and Chicago during East Coast work hours.

Basic Qualifications

  • 3+ years’ experience at a law firm, registered investment adviser, broker-dealer or regulator.

Salary Details

Annual base salary between $150,000 to $175,000.


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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