Guggenheim Partners

Vice President, Enterprise Compliance

Guggenheim Partners • $150K — $170K *
New York, NY 10025In-Person
Finance & Insurance
5 - 7 years of experience
3 weeks ago
Job Overview by Ladders

Qualifications

  • Bachelor's degree required
  • 7+ years of relevant experience in financial services
  • Knowledge of regulatory requirements impacting broker-dealers
  • Experience conducting branch inspections and thematic compliance reviews
  • Proficient in data organization, analysis, and metric development
  • Excellent communication skills (both verbal and written)
  • Ability to manage multiple priorities in a fast-paced environment

Responsibilities

  • Support execution of the Compliance Monitoring and Testing Program
  • Partner with stakeholders to conduct risk assessments and deep-dive reviews
  • Execute the branch inspection program end to end
  • Prepare reports identifying issues and drive remediation
  • Contribute to surveillance enhancements and strategic initiatives
  • Train junior staff members
  • Manage regulatory inquiries and investigations
  • Assist with compliance metrics tracking and reporting

Benefits

  • Opportunity to shape and improve the firm’s compliance program
  • Involvement in high-level compliance initiatives and projects
  • Development opportunities through training junior staff
  • Work in a collaborative environment with compliance stakeholders
  • Location in New York office with expected in-office collaboration
Full Job Description
Job Description:

Position Summary

Guggenheim Securities ("GS") is seeking to hire a seasoned Enterprise Compliance VP to join its Enterprise Compliance team. The primary objective of this role is to help shape, execute and continually improve the Firm's enterprise compliance program.

Essential Job Functions
  • Support the execution of the Compliance Monitoring and Testing Program to mitigate risks and ensure adherence to regulatory requirements and internal policies and procedures
  • Partner with compliance stakeholders to complete risk assessments and conduct targeted deep-dive reviews of business activities
  • Execute the branch inspection program end to end
  • Prepare reports identifying issues, partner with issue owners to develop solutions, and drive remediation to closure
  • Contribute to surveillance enhancements and strategic surveillance initiatives, including the review, analysis and investigation of alerts and issues within the surveillance program
  • Help train junior staff members
  • Support the management of regulatory inquiries and investigations
  • Assist with metrics tracking and reporting across compliance functions
  • Help enhance and execute the regulatory change management program
  • Contribute to the development and maintenance of policies and procedures
  • Draft and assist in the preparation of the FINRA Rule 3120 Annual Compliance Report and the SEC Rule 15c3-5 Market Access Report
  • Lead and support ad-hoc Compliance projects
  • Help build, refine and track compliance KPIs and KRIs to measure program effectiveness


Preferred Qualifications
  • Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and research
  • Proven track record conducting branch inspections and leading thematic compliance reviews
  • Experience with developing and maintaining risk assessments and surveillance systems
  • Experience with surveillance tasks, including email and transaction review
  • Demonstrated authorship of WSPs, compliance policies
  • Data organization and analysis proficiency, including the ability to develop relevant metrics based on data sets
  • Excellent verbal and written communication skills
  • Highly organized, strong attention to detail
  • Demonstrated ability to manage multiple priorities, meet deadlines and operate independently in a fast-paced environment
  • Be a critical thinker, proactive, and creative
  • Have a positive, hands-on, "can-do" attitude


Basic Qualifications
  • Bachelor's / University degree
  • 7+ years relevant experience with a regulator, broker-dealer or other financial services institution
  • PowerPoint/Excel skills


Work Location
  • Currently, this role is expected to be in the New York office at least 4 days per week


Salary
  • Annual base salary is between $150,000 and $170,000.
  • The base salary represents the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The amount listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.


About Guggenheim Partners

Guggenheim Partners is a global investment and advisory firm with more than $310 billion in assets under management. The firm provides expertise in investment management, investment banking, and insurance services to institutions, governments, and individuals. Guggenheim Partners is headquartered in New York City and has offices in more than 25 cities worldwide. The firm was founded in 1999 by a group of senior executives from Salomon Brothers.
Learn more about Guggenheim Partners
Size
2,000 employees
Industry
Finance & Insurance
* Ladders Estimates

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