Guggenheim Securities · 2 weeks ago
Experienced Associate, Vice President - (RIA) Compliance
New York, United States
Full-time
Onsite
Mid Level
$130K/yr - $130K/yr
4+ years expGuggenheim 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 and will involve managing the compliance program and serving as the principal compliance advisor to the warehouse lending business.
Financial Services
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
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
Company
Guggenheim Securities
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. It is a sub-organization of Guggenheim Partners.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Mark Van Lith
Chief Executive Officer
Recent News
2026-01-07
2025-12-17
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