Job Description:Guggenheim Securities is seeking an experienced Control Room professional to join its Control Room team. Reporting to the Head of the Control Room, this person will be responsible for partnering with business and corporate leaders of the Investment Bank, to ensure compliance with relevant reputational, regulatory, and legal requirements applicable to the Control Room. The successful candidate will interact with all levels of the organization, including senior management, and have the ability to thrive in a fast-paced environment.
Essential Job Functions
- Maintenance of the Firm's watch and restricted lists.
- Conduct conflict searches for relevant activity across all business units and affiliated entities.
- Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
- Process and manage 'wall-crossing' requests.
- Assist in preparing responses to FINRA underwriter questionnaires.
- Information barrier monitoring and watch and restricted list trade surveillance.
- Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
- Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
- Rotational weekend coverage.
Preferred Qualifications
- Track record of effective maintenance and monitoring of Firm information barriers.
- Excellent verbal and written communication skills and strong professional demeanor.
- Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
- Ability to understand and analyze compliance issues and recommend commercially effective solutions.
- Proficient in Microsoft Office, including the ability to work comfortably within Excel.
- Analytical skills required to keep up with the evolving regulatory and industry environment.
- Results-orientated focus toward action and a track record of achievement.
- Strong written, verbal, and presentation skills.
- Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.
Basic Qualifications
- Bachelor's degree and 7 to 10+ years of experience as a Compliance professional, within a large, full-service investment bank with a minimum of 5+ years of Investment Banking Compliance/ Control Room experience.
- Fluent in applicable FINRA and SEC rules and enforcement and industry best practices relevant to information barriers, material non-public information and Control Room activities.
- Deep understanding of public/private designations, MNPI determinations and considerations and the purpose and application of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.
Work Location
- Currently, this role is expected to be in a Guggenheim Securities branch office (San Francisco; Los Angeles; New York) at least 4 days per week.
Salary
- Annual base salary between $150,000 and $190,000.
The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
