Compliance Officer- Associate/Vice President

Job Description: Associate/Vice President - Compliance Officer Guggenheim Securities Position Summary Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background. Essential Job Functions ·Establishment and day-to-day management of the compliance program ·Draft Annual Compliance Report ·File Form ADV ·Principal compliance advisor to the warehouse lending business Preferred Qualifications ·At least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plus ·Experience with and knowledge concerning structured credit transactions ·Experience with and knowledge of the Investment Advisers Act of 1940 ·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 Work Location Currently, this role is expected to be in the New York office at least 4 days per week. Salary ·Annual base salary of $130,000. 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 Guggenheim Securities ·Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston. 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. ·For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartner.com or 212.518.9200. About Us: Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston. For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200. Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission. Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. We offer services in Advisory, Financing, Sales and Trading, and Research. Discover what it is like to work with us through the stories of our colleagues. We are headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, Houston, and in London, UK. For more information, please email GS Lateral Recruiting or call 1 212.518.9200

Salary : $130,000