Job Description:
Guggenheim Securities
Position Summary
Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. This individual will act as a strategic partner to the executive team, ensuring regulatory integrity across both RIA and Structured Credit Transactions. The ideal candidate will be a self-starter, critical thinker and collaborative problem solver with a comprehensive regulatory background.
Essential Job Functions
- Design, implement, and maintain the firm’s compliance program in accordance with SEC regulations (Investment Advisers Act of 1940)
- Draft Annual Compliance Report
- File, maintain, and update Form ADV, disclosures, and regulatory fillings
- Serve as principal compliance advisor to the warehouse lending business
- Serve as primary liaison with regulators
- Design, implement, and maintain compliance manuals and policies
- Lead annual compliance reviews and ongoing monitoring
Preferred Qualifications
- 15+ years of experience in RIA/private markets compliance with a preference for institutional asset management experience
- Prior CCO or Deputy CCO for a registered investment adviser
- Experience with and knowledge concerning structured credit transactions
- Substantial 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
- Strong communicator with executives and investment teams
- Willingness to roll up sleeves to perform all responsibilities needed to ensure success as this will be the first RIA Compliance hire in an institutional broker-dealer oriented Compliance Department
Work Location
- Currently, this role is expected to be in the New York office at least 4 days per week.
Salary
- Annual base salary of $175,000 - $300,000.
- 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.