Guggenheim Services, LLC

Transactions Operations Associate

Job Locations US-IL-Chicago
Posted Date 2 weeks ago(5/18/2023 1:42 PM)
Job Category
Operations, Investment Management & Advisory Jobs
Position Type

Position Summary

Guggenheim Partners Investment Management is seeking an experienced and motivated individual to join the Transaction Services team within Operations in its Chicago Office.  This person will play an integral role in the daily trade lifecycle, working directly with the Investment Management teams as well as multiple internal and external partners to provide superior post-execution trade support across multiple asset classes. 

In addition to the daily responsibilities, the ideal candidate will demonstrate the ability to take initiative and critically analyze processes and procedures in a push toward constant improvement and risk mitigation. Strict attention to detail and the confidence to introduce new ideas to the process are imperative to being successful in this role.  This position has high visibility directly to the investment, client service and the legal teams within the firm as well as many external entities, requiring strong, effective communication skills. 


This position is located in our Chicago offices. 

Essential Job Functions

  • Perform post-execution trade support functions including confirmation and settlement of multiple asset classes, including Fixed Income, Equity, Financing and Alternative products.
  • Monitor settlement of all trades and ensure timely resolution of any failing transaction. 
  • Initiate funding and settlement instructions to custodian and administrators for private structured securities.
  • Engage with global operations teams in the production and oversight of daily control reporting for the department for distribution to senior management.
  • Assist in the maintenance of approved broker dealers on the operating system including coordinating KYC requests from counterparties.
  • Communicate professionally with brokers dealers and custodians while seeking opportunities to expand business relationships.
  • Participate in department and firm-wide projects aimed to increase efficiency and minimize risk including working directly with system’s vendors and information technology.
  • Take an active role in analyzing daily workflows within the team and develop solutions to always enhance processes.



Preferred Qualifications

  • Broad understanding of Fixed Income, equity, financing and alternative products and the operational workflows.
  • Motivated team player who has a collaborative mindset to resolve issues both within and outside of the department.   
  • Desire to drive change within the operational workflow and dedication always improving the group’s processes.
  • Excellent communication skills to interact with external partners as well as various levels of management within the firm. 
  • Ability to operate in a stressful, deadline driven environment while still maintaining a strict attention to detail and an ability to prioritize issues appropriately
  • Proficiency in Excel and a desire to implement workflow tools is desired but not required. 

Basic Qualifications

  • Bachelor’s degree with a preferred concentration in a business-related field.
  • Minimum of 2-4 years of experience in an operational role within financial services.

Salary Details

Actual base salaries may vary depending on factors such as location and experience.

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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