Experienced Associate/Vice President - Compliance

Guggenheim Securities • Madison, NY

23h • $110,000 - $135,000 • Onsite

About The Position

Guggenheim Securities “GS” is seeking a diligent, thorough and energetic individual with excellent attention to detail to join its Compliance Registration Team. This person will work closely with Compliance Officers, Human Resources, and Broker-Dealer personnel to assist with the preparation, coordination, and transmission of regulatory broker-dealer and registered representatives’ filings. The position is located in Guggenheim’s New York office. Prior compliance experience is strongly preferred.

Requirements

• 3 – 5 years of registration experience in the financial services

Nice To Haves

• BA or BS required
• Strong written and oral communication skills
• Must be able to work with various teams in a professional environment
• Strong organization skills and attention to detail
• Proficient in Microsoft Outlook, Word and Excel
• Knowledge or experience with FINRA Registration

Responsibilities

• Coordinate with the Compliance Departments of the Firm’s Broker-Dealers and the Human Resources Department for the firm’s regulatory pre-hire/on-boarding process and off-boarding
• Assist with registration and regulatory requirements for the Firm’s Broker-Dealer associated persons including Forms U4 and U5, regulatory examinations, continuing education and fingerprinting
• Maintain required document retention records
• Assist with various projects

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees