Guggenheim Securities · 2 weeks ago
New Accounts Analyst
New York, NY
Full-time
Hybrid
Entry, Mid Level
$80K/yr - $95K/yr
2+ years expGuggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. The New Accounts Analyst will support daily operations by facilitating onboarding, KYC, and AML processes for new institutional accounts and ensuring compliance with legal and regulatory standards.
Financial Services
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
Preferred
Familiarity with Bank Secrecy Act, Anti-Money Laundering, Know-Your-Customer, FinCEN and Broker-Dealer Rules and Regulations. As well as FINRA CAT & CAIS
Prior experience working in the financial services industry, with a background in documentation is preferred
Demonstrated ability to prioritize and handle multiple projects and assignments
Ability to collaborate across product lines and effectively manage competing priorities through strong time management and problem-solving skills
Highly organized, detail oriented and thorough; ensuring all work processes are completed accurately and appropriately
Demonstrates consistent professionalism in communication and can clearly articulate complex or problematic situations
Strong team player with a positive, collaborative attitude
Proactive, able to anticipate needs, take initiative, operate independently, and recognize when escalation is necessary
Adaptable and able to respond effectively to changing situations
Skilled in reviewing and analyzing customer documentation and initiate appropriate follow-up actions
Proficiency in Microsoft Suite with working knowledge of Excel
Familiarity with: Pershing NetX360, Thompson Reuters WorldCheck One, LexisNexis and DocuSign
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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