Guggenheim Services, LLC

Compliance Advisory Associate

Job Locations US-NY-New York
Posted Date 2 months ago(10/3/2023 3:34 PM)
Job Category
Legal & Compliance Jobs
Position Type

Position Summary

Guggenheim Securities is seeking a motivated compliance professional to join its Investment Banking Compliance Team as an Associate. This person will work closely with the front-line business, management, legal, operations and business controls and report to the Head of Investment Banking Compliance on a wide variety of regulatory and compliance matters relevant to the Firm’s investment banking advisory and financing businesses (IB). The position is based in the Firm’s New York Office.

Essential Job Functions

  • Identify, analyze and address compliance matters relevant to both core broker-dealer and IB-specific policies, procedures and regulations
  • Assess and track regulatory developments and rule changes and update and maintain related policies, procedures and training
  • Develop, implement, and enhance compliance testing and surveillances to mitigate risks
  • Research develop and implement appropriate control processes, including drafting/updating of corresponding policies and related training materials
  • Liaise with compliance, legal and business colleagues covering research, control room and sales and trading on matters relevant to IB compliance

Preferred Qualifications

  • The ability to identify and resolve issues independently and influence behavior to drive compliance with policy and procedures
  • People skills, self-confidence and the ability to interact successfully (in person) with all levels of staff and management
  • Ability to problem-solve on the fly, untangle issues and implement practical solutions to business and compliance matters
  • Excellent verbal and written communication skills
  • Highly organized, strong attention to detail
  • Comfortable working both independently and in a team environment
  • Critical thinker, proactive and creative
  • Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision
  • Have a positive, hands-on, “can-do” attitude
  • Willingness to travel domestically

Basic Qualifications

  • 3-5 years of broker-dealer line of business compliance coverage experience; investment banking, capital markets and/or control room experience a plus
  • Understanding/awareness of laws, rules, regulatory requirements and risks impacting broker-dealers and IB
  • Involvement in policy and training development, writing and communication/presentation, as well as the design and function of related monitoring and testing

Salary Details

  • Annual base salary between $80,000 and $115,000.
  • 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.
  • Currently, this role is expected to be in the ­­­­New Yorkl 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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