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Guggenheim Partners · 1 month ago

Experienced Associate, Vice President - Compliance

New York

Full-time

Onsite

Mid Level

$130K/yr - $130K/yr

4+ years exp

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 and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business.

FinanceFinancial ServicesVenture Capital

Responsibilities

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

Qualification

Compliance program managementRegulatory backgroundStructured credit transactionsInvestment Advisers Act knowledgeClient relationship skillsAttention to detailProblem-solving skillsCommunication skills

Required

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

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