Guggenheim Investments (GI) is seeking a motivated, self-directed professional to join its Compliance team reporting to the Vice President of the Control Room. This role presents an opportunity to grow in a fast-paced organization while supporting a critical function that protects our clients’ interests.

The position is based in New York with opportunities to work hybrid.

Responsible for monitoring and managing the Firm’s information barriers for the GI Control Room including:
• Working directly with GI Business and GI Compliance to maintain the GI Restricted List and the GI Watch List by providing guidance regarding material non-public information (MNPI) determinations and restriction status.
• Facilitating affiliate and external wall crossings by identifying relevant parties and their tradable instruments; evaluating whether the business can receive MNPI; consulting with Portfolio Managers; and escalating to senior GI Compliance, GI Risk and GI Investment management where applicable.
• Interacting with GI Traders and Portfolio Managers in connection with pre-trade exception approval for issuers on the GI Restricted List consistent with applicable legal, regulatory, and policy considerations.
• Performing post-trade surveillance of all trades against the GI Restricted List and investigate any trades requiring follow-up.
• Performing daily surveillance of GI access to third-party sites to determine whether GI is private in an issuer’s data room.
• Performing surveillance of electronic communications.
• Drafting, reviewing, and updating Control Room-related written procedures.
• Developing and leading trainings regarding the GI Restricted List and related issues.
• Reviewing NDAs for contractual trading restrictions and standstill provisions.
• Working on special Compliance projects and other operational tasks.

• Self-starter with excellent organizational and communication skills.
• Must be detail-oriented and have excellent oral and written communication skills.

• JD a plus

• Bachelor's degree required
• 3+ years of financial services industry experience

Annual base salary between $110,000 and $125,000.

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.

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: #GuggenheimInvestments, 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 GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.

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