Assistant Controller - Guggenheim Treasury Services

Guggenheim Partners•Madison, NY

22d•Hybrid

About The Position

Guggenheim Treasury Services is seeking an Assistant Controller to join its team! Reporting directly to the Chief Financial Officer, the Assistant Controller will be a hands-on member of the finance team supporting an SEC-registered security-based swap dealer (SBSD). This individual will own day-to-day accounting functions, month-end close, and regulatory financial reporting, working closely with the Controller and CFO across a lean, fast-moving finance function. This position is required to report on site 4 days a week and is based in our New York City offices.

Requirements

Minimum of 7 years of progressive accounting experience, including financial statement preparation and month-end close
Completion of a bachelor’s degree in accounting, finance, business administration, or a related field
Substantive experience in a regulated financial services environment required; backgrounds in SBSDs, CFTC-registered swap dealers/FCMs, FINRA broker-dealers, or prime broker-dealers, or securities financing strongly preferred
Excellent attention to detail, organizational, and communication skills; ability to work independently and manage competing priorities
Experience working with ERP systems, Workday preferred
Proficient in Microsoft Office Suite with advanced Microsoft Excel skills (Pivot tables, V-lookups, and complex formulas)

Nice To Haves

CPA or progress toward CPA a plus
Product knowledge in derivatives and structured products (TRS, repo, securities lending) preferred, but not required
Familiarity with SEC SBSD regulatory capital rules (18a-1, 18a-6, 18a-7) or transferable regulatory capital experience (FINRA, CFTC) a plus
Familiarity with researching and applying U.S. GAAP to transactions and financial reporting

Responsibilities

Oversee and participate in month-end and year-end close processes, including journal entries, account reconciliations, financial statement preparation in accordance with U.S. GAAP, and assisting the Controller, as needed
Prepare financial statements, including unaudited monthly/quarterly statements and year-end audited financials
Support FOCUS reporting and net capital computations under SEC Rule 18a-1, and serve as backup preparer for both
Review and approve vendor and operational invoices
Conduct monthly variance analysis on financial results, identifying and explaining significant fluctuations
Support external audit, regulatory exam, and internal compliance requests
Help maintain and test internal controls and audit-readiness documentation
Help maintain and update accounting policies, procedures, and desk-level documentation
Assist with financial systems and process improvement initiatives
Crosstrain across all accounting functions, and serve as primary backup for the Controller during absences
Other special projects, as assigned