Guggenheim is seeking an exceptional professional to join its Compliance team. The successful candidate will join a highly collaborative team and will be responsible for supporting Guggenheim’s compliance program with a focus on reviewing marketing materials for compliance with regulatory requirements and internal policies and procedures. The successful candidate will also mentor junior employee(s) and oversee and support additional compliance responsibilities related to marketing materials and social media initiatives.

This position may be located out of our Rockville, MD, Chicago, IL, New York, NY, or Santa Monica, CA offices, and currently accommodates a hybrid schedule.

• Serve as a subject matter expert within the firm, advising on laws, rules and regulations relating to marketing communications relevant to the firm’s product offerings.
• Work with the Marketing Department and other areas of the business to timely review, provide guidance and approve marketing materials, ensuring that materials are compliant with relevant laws, rules, and regulations.
• Review a wide range of marketing materials, including but not limited to advertisements, brochures, presentations, social media posts, websites, and requests for proposals.
• Maintain the firm’s centralized marketing review processes, workflows, and disclosure libraries.
• Perform compliance surveillance and monitoring for firm social media programs.
• Contribute to the creation of internal manuals, policies, and procedures to ensure adherence to consistent and sound practices.
• Maintain training materials and conduct as hoc training for applicable business groups on regulatory and firm standards for marketing communications.
• Monitor for new laws, regulations and industry best practices relating to marketing standards.
• Assist in responding to and preparing reports for regulatory agency requests and/or examinations.
• Serve as a backup resource to other compliance functions across the firm.
• Participate in other projects as required.

• Detailed knowledge of advertising and communication rules for SEC registered investment advisers, FINRA broker dealers, registered investment companies, private fund offerings, and GIPS Standards.
• Experience with cross-border marketing communications
• Experience with fixed income strategies

• Undergraduate degree or equivalent combination of training and experience.
• FINRA Series 7 and 24 are required (if not currently held, will obtain within agreed upon time frames).
• 7 - 10+ years of experience in marketing review compliance, or a related role.
• Strong understanding of regulatory requirements and industry standards relating to marketing and advertising.
• Excellent analytical and problem-solving skills.
• Strong written and oral communication skills as well as interpersonal skills.
• Highly organized with a proven ability to multi-task, meet deadlines and handle multiple projects/priorities.
• May be required to work flexible hours, including nights and weekends, from time to time.
• Ability to work well independently as well as in a team environment.

Annual base salary between $180,000 to $200,000

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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