Guggenheim Securities – Investment Banking Business Control Analyst

Guggenheim Partners • New York, NY

10d • $70,000 - $80,000 • Hybrid

About The Position

Guggenheim Securities seeks an enthusiastic and detail-oriented individual to join our dynamic Business Control team as an Analyst. This first-line-of defense role plays a critical part in maintaining the integrity of the Firm’s control environment by supporting risk management, compliance and operational governance across Investment Banking. The Analyst will support delegated supervision, surveillance and control-related responsibilities in accordance with Firm and regulatory requirements. This role requires developing a comprehensive understanding of internal policies and procedures to support the detection and escalation of potential policy or regulatory violations, contribute to root cause analysis, and drive remediation. The Analyst will also actively participate in the design and implementation of new processes, procedures, and enhancements to the existing control framework, including regulatory change management and new product initiatives. The ideal candidate combines financial services experience with strong analytical skills and a proactive mindset. Familiarity with broker-dealer operations, investment banking products, and the end-to-end transaction lifecycle is preferred. The desire to work in a dynamic, highly collaborative environment is essential.

Requirements

• 1-3 years’ experience in the financial industry
• Bachelor’s Degree
• Excellent written and verbal skills with demonstrated leadership and project management experience
• Ability to work collaboratively across a geographically diverse team, managing multiple priorities and delivering results under tight timelines
• Strong analytical and problem-solving skills with high attention to detail

Nice To Haves

• Securities Industry Essentials (SIE) and Series 79 preferred or commitment to obtain within 6 months of joining the Firm
• Familiarity with broker-dealer operations, investment banking products, and the end-to-end transaction lifecycle is preferred.
• The desire to work in a dynamic, highly collaborative environment is essential.

Responsibilities

• Understand and apply business, compliance, and information security policies in day-to-day operations across the broker-dealer
• Conduct end-to-end monitoring and testing of internal controls to assess operating effectiveness and identify potential weaknesses
• Develop and maintain risk and control documentation, management reporting, and dashboards to provide transparency on operational risks and key metrics
• Help support employees’ adherence to applicable laws, rules, and regulations through the application of Firm and regulatory policies and sound ethical judgment
• Effectively support regulatory exams, internal audits and compliance testing by remaining current with regulatory developments, internal policies and required changes and evolving industry best practices
• Partner cross-functionally with Compliance, Operations, Technology and senior leadership to develop process efficiencies, supporting infrastructure and identifying opportunities to strengthen the control environment

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level