Director/MD RIA Compliance

Guggenheim Partners • New York, NY

1d • Onsite

About The Position

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. 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.

Requirements

• 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

Responsibilities

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed
• Number of Employees: 251-500 employees