Compliance Vice President

Job Description

Compliance Associate – Vice President

Guggenheim Securities

Position Summary

• Guggenheim Securities “GS” is seeking a diligent, thorough and energetic individual with excellent attention to detail to join its Compliance Registration Team. This person will work closely with Compliance Officers, Human Resources, and Broker-Dealer personnel to assist with the preparation, coordination, and transmission of regulatory broker-dealer and registered representatives’ filings. The position is located in Guggenheim’s New York office.
  
  

Essential Job Functions

Prior compliance experience is strongly preferred.

• Coordinate with the Compliance Departments of the Firm’s Broker-Dealers and the Human Resources Department for the firm’s regulatory pre-hire/on-boarding process and off-boarding
• Assist with registration and regulatory requirements for the Firm’s Broker-Dealer associated persons including Forms U4 and U5, regulatory examinations, continuing education and fingerprinting
• Maintain required document retention records
• Assist with various projects
  
  

Preferred Qualifications

• BA or BS required
• Strong written and oral communication skills
• Must be able to work with various teams in a professional environment
• Strong organization skills and attention to detail
• Proficient in Microsoft Outlook, Word and Excel
• Knowledge or experience with FINRA Registration
  
  

Basic Qualifications

• 3 – 5 years of registration experience in the financial services
  
  

Work Location

• Currently, this role is expected to be in the ­­­­New York office at least 4 days per week.
  
  

Salary

• Annual base salary between $110,000 – 135,000
  
  

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 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.