Guggenheim Partners · 3 months ago
Experienced Associate/Vice President - Compliance
New York City, NY – U.S.
Full-time
Hybrid
Mid Level
$110K/yr - $135K/yr
3+ years expGuggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. They are seeking a diligent individual to join its Compliance Registration Team, where the role involves assisting with regulatory filings and working closely with various departments to ensure compliance.
FinanceFinancial ServicesVenture Capital
Responsibilities
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
Qualification
Required
Prior compliance experience is strongly preferred
3 – 5 years of registration experience in the financial services
Preferred
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
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
2025-11-11
2025-11-10
Company data provided by crunchbase