Compliance Officer- Associate/Vice President
About The Position
Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background.
Nice To Haves
- At least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plus
- Experience with and knowledge concerning structured credit transactions
- 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
- Willingness to roll up sleeves to perform all responsibilities needed to ensure success
Responsibilities
- Establishment and day-to-day management of the compliance program
- Draft Annual Compliance Report
- File Form ADV
- Principal compliance advisor to the warehouse lending business
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Professional, Scientific, and Technical Services
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
