Guggenheim Investments is seeking a motivated detail-oriented individual to join the Policies, Procedures and Controls Team. This position will play an important role in the expansion of the Guggenheim Investments process and control testing and remediation program and will be responsible for the development of checklists, forms and other documentation to support our internal control environment.

• Work with the Head of Policies, Procedures and Controls and the Director of Internal Controls to expand the Guggenheim Investments process and control testing program to evaluate adequacy and effectiveness of policies, procedures, processes, and internal controls.
• Develop and maintain detailed checklists, forms and executive summaries to support various processes within the firm.
• Conduct regular process and control testing based on documented policies and procedures.
• In coordination with business unit leaders, assess and log identified testing exceptions and report them to senior management as needed.
• Coordinate and monitor remediation of identified deficiencies with the support of internal stakeholders and policy and procedure owners.
• Collaborate with internal control partners (e.g., Internal Audit) to coordinate testing plans.
• Assist with the preparation of periodic standardized reporting and formal presentations.
• Work in conjunction with senior leadership to assess and identify areas of significant business risk.
• Collaborate with internal teams to drive continuous policy and process improvement.
• Assist the Policies, Procedures and Controls Team with new and ongoing projects.

• Successful candidate must have experience with audit, project management, risk management and be comfortable interacting with stakeholders at all levels.
• Ideal candidate will have demonstrated ability to evaluate, design, document and implement processes that improve the accuracy and timing of work as well as mitigate risk to the firm.

• Candidate must have an undergraduate degree with 5 + years of experience in financial services.
• Understanding of investment management business functions/processes as well as regulatory framework of an RIA.
• Exceptional speaking, listening, and writing skills.
• Strong problem-solving skills and ability to take initiative.
• Organized, detail oriented and extremely thorough.
• Must be able to successfully engage in multiple initiatives simultaneously.
• Advanced skills in Microsoft products including Word, Excel, PowerPoint, VISIO and SharePoint.

Annual base salary between $110,000 - $120,000

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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