Guggenheim Services, LLC

Senior Compliance Manager & Senior Regulatory Counsel

Job Locations US-NY-New York
Posted Date 4 months ago(6/7/2023 6:57 PM)
Job Category
Position Type

Position Summary

Guggenheim Investments is seeking a Senior Compliance Manager & Senior Regulatory Counsel to join our Compliance team. This position will be hybrid and based in our New York offices.

Essential Job Functions

• Senior legal advisor to the CCO on all legal and compliance matters related to an institutional Investments Adviser’s Compliance Program.
• Knowledge of debt products and derivatives, including private debt transactions, private funds, CLOs, and the ability to identify conflicts with respect to such products.
• Assist with prospecting/marketing (including Canada, California lobbyist & NFA registrations), onboarding/review of IMAs and PPMs, amendments, and other client service issues.
• Manage regulatory examinations and interface with various regulators.
• Advise on new regulatory rule proposals and other special projects, including ESG.
• Assist with Private Funds Compliance.
• Assist with GI NFA/CFTC Compliance.
• Assist with GI Asia Business Management Compliance (including Tokyo/Dubai office oversight).

Preferred Qualifications

• Comprehensive knowledge of the Investment Advisers Act of 1940.
• Experience with fixed income and alternative investments.
• General understanding of NFA and CFTC issues.
• Strict attention to detail combined with excellent prioritization and organization skills.
• Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately.
• Strong problem-solving skills and demonstrated ability to take initiative.
• Willingness to roll up sleeves to perform all responsibilities needed to ensure success.

Basic Qualifications

• 10 + years’ experience of institutional investment management – related experience at a law firm or regulator in-house.
• JD Degree required.

Salary Details

Annual base salary between $175,000 to $225,000.

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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