Guggenheim Services, LLC

Chief Compliance Officer/Chief Risk Officer, Vice President / Director (Dublin)

Job Locations IE-Dublin
Posted Date 3 weeks ago(5/11/2023 11:06 AM)
Job Category
Position Type

Position Summary

Guggenheim Securities Europe Limited (‘GSEL’) – is a MIFID Firm regulated by the Central Bank of Ireland – which is the EU office for Guggenheim Securities’ global investment banking business, focused on M&A advisory and financing for corporate and financial sponsor clients.


Essential Job Functions

  • Manage and oversee compliance with regulatory and legislative obligations and standards applicable to GSEL (including but not limited to MiFID II, GDPR, the Criminal Justice (Money Laundering and Terrorist Financing) Act, the Criminal Justice (Corruption Offences) Act and the Market Abuse Regulation/Directive, among others).
  • Develop, maintain and provide oversight of, GSEL compliance and risk policies and procedures.
  • Responsible, along with the UK CCO and the US Legal and Compliance team for monitoring changes in EU and Irish law and regulation applicable to GSEL’s business and updating policies, procedures and training to reflect such changes.
  • Responsible (with GSEL’s Finance Department) for the completion, review and submission of ongoing regulatory filings/returns to the Central Bank of Ireland in addition to ad-hoc filings as required.
  • Provide compliance advice to European investment banking professionals on compliance related items in conjunction with the UK CCO and the U.S. Investment Banking Legal and Compliance teams.
  • Provide annual (and induction) Compliance Training to all GSEL employees as well as Compliance workshops where mandated.
  • Act as the MLRO for GSEL.
  • Reporting to the GSEL Board in Ireland and the Head of Compliance for Guggenheim Securities in the U.S, with regular interaction with the GSEL CEO, the GSEL Board of Directors, the Guggenheim United Kingdom Chief Compliance Officer and investment banking professionals based in the EU and the UK.
  • Responsible for all GSEL related regulatory interactions, including Central Bank of Ireland supervisory team inspections, questionnaires, queries and ongoing dialogue (direct point of contact for the regulator).
  • Escalation point for review and approval of all GSEL related compliance issues.

Preferred Qualifications

  • 4-10 years of experience
  • Highly organized, with the initiative and ability to work with limited supervision
  • Excellent analytical skills and attention to detail
  • Strong written and oral communication skills
  • Effective process management abilities

Basic Qualifications

  • Requires a minimum of a Bachelor's degree

Salary Details

  • Base salaries may vary depending on factors such as location and experience.
  • Currently, this role is expected to be in the ­­­­Dublin office at least 4 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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