Guggenheim Partners · 5 months ago
New Accounts Analyst
New York City, NY – U.S.
Full-time
Hybrid
Entry, Mid Level
$80K/yr - $95K/yr
2+ years expGuggenheim Partners is a global investment and advisory firm, and they are seeking a New Accounts Analyst to support daily operations related to the onboarding, KYC, and AML processes for new institutional accounts. The role involves reviewing account documentation, coordinating with internal teams, and conducting research for client verification.
FinanceFinancial ServicesVenture Capital
Responsibilities
Receive and process new account request from sales personnel, liaising directly with clients
Screen customers against the OFAC SDN and other sanctions lists utilizing WorldCheck One, escalating positive screening outcomes to AML Officer
Coordinate with internal teams such as: AML Officer, Compliance Officer, FinOps, Business Controls, Legal, Sales & Trading Desk Supervisors, Risk and Operations
Conduct research on various regulatory platforms for client information/verification in accordance with established policies and procedures
Handle trade-level documentation such as Options Agreements, Electronic Trading Agreements, QIB Certifications, etc
Review existing client files for completeness as specified by policies and procedures
For Sales & Trading, utilize Pershing’s NetX360 to open client allocation accounts
Facilitate Request for Information (RFI) from external Business Partners and clients
Perform suitability assessments for prospective Investment Banking Investors in accordance with Confidential Marketing policies and procedures
Demonstrate a willingness to learn new technologies to fulfill onboarding and FinCEN requirements using proprietary technology
Manage internal approvals and signoffs
Participate in Ad hoc projects as assigned
Provide evening and weekend support as required
Qualification
Required
Bachelor's degree or equivalent in experience
2-3 years' experience in a KYC Role
Must successfully pass a background check
Meticulous attention to detail
Ability to effectively prioritize workflow
Experience reviewing account documentation in accordance with legal and regulatory standards
Ability to collaborate across product lines
Strong time management and problem-solving skills
Highly organized, detail oriented and thorough
Demonstrates consistent professionalism in communication
Strong team player with a positive, collaborative attitude
Proactive, able to anticipate needs, take initiative, operate independently
Adaptable and able to respond effectively to changing situations
Skilled in reviewing and analyzing customer documentation
Proficiency in Microsoft Suite with working knowledge of Excel
Preferred
Familiarity with Bank Secrecy Act, Anti-Money Laundering, Know-Your-Customer, FinCEN and Broker-Dealer Rules and Regulations
Prior experience working in the financial services industry, with a background in documentation
Demonstrated ability to prioritize and handle multiple projects and assignments
Familiarity with: Pershing NetX360, Thompson Reuters WorldCheck One, LexisNexis and DocuSign
Company
Guggenheim Partners
Guggenheim Partners is a diversified financial services firm, offers investment management and banking, and insurance services.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Alexander Ramirez
Senior Managing Director - Technology, Media & Telecom (TMT)
Joe McCurdy
Senior Managing Director
Recent News
2025-12-06
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2025-11-10
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