Analyst - Business Controls

Job Description:

Guggenheim Securities

Position Summary

Guggenheim Securities is seeking an enthusiastic, detail-oriented individual to join a fast-growing team as a Business Control Analyst. This position will play an important role in supporting the Firm’s culture of Risk Management and Compliance by conducting daily electronic communications reviews and performing other control related responsibilities in accordance with Firm and regulatory requirements. The Analyst will be required to develop and maintain a solid understanding of Firm and Compliance policies and procedures to support the detection of potential policy or regulatory violations and safeguard the Firm by exercising sound judgement and escalating issues appropriately. The Analyst will actively participate in the implementation of new processes, procedures, and enhancements to the existing electronic communications surveillance framework.

The ideal candidate will have some experience in the securities industry and be familiar with the basic operations, product types and processes of a broker dealer. The desire to work in a dynamic and highly collaborative environment is essential.

Essential Job Functions

• Understand business, compliance, and information security policies and their day-to-day application at a broker dealer
• Help assure employees’ adherence to applicable laws, rules, and regulations via Firm and Regulatory policies and by applying sound ethical judgment regarding personal behavior
• Conduct sound business practices by escalating, managing, and reporting issues with transparency
• Remain current with regulatory and internal policy changes
• Actively participate in group discussions and key initiatives to develop and enhance current and future processes

Preferred Qualifications

• 1-3 years’ experience in the financial industry is preferred but not required
• Bachelor’s Degree
• Securities Industry Essentials (SIE) and Series 79 preferred or commitment to obtain within 6 months of joining the Firm
• Excellent customer service skills, attention to detail and exceptional written and verbal communication skills
• Ability to work collaboratively, across a geographically diverse team
• Strong analytical and problem-solving 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 between $65,000 and $80,000.
• 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.

About Us:

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.

Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.