Senior Compliance Officer, Product & Structured Transactions (MD)

Guggenheim Investments•New York, NY

11d•$225,000 - $250,000•Onsite

About The Position

Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to these areas, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the CCO and the leadership team in the ongoing development and implementation of the firm’s compliance programs. Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures. This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, and are interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements. This role reports to the Chief Compliance Officer and is based in our New York City office, full-time.

Requirements

10+ years of financial services experience
2–5+ years as a corporate transaction attorney or in a related legal/compliance role
Direct experience with insurance company transactions preferred
Deep understanding of CLOs, structured credit, and fixed income products
Strong knowledge of RIA regulatory requirements (Investment Advisers Act of 1940)
Demonstrated ability to develop and implement process improvements
Excellent communication skills with ability to translate complex product details into compliance guidance

Nice To Haves

Juris Doctor
Broad knowledge of federal securities laws
Certification in a related field of practice is a plus
Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
Deep understanding of the global regulatory landscape and emerging regulatory trends
Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress

Responsibilities

Product & Transaction Compliance
Develop and maintain deep expertise in product structures, including SPVs, CLOs, and other structured vehicles
Partner with product and transaction teams to identify and communicate compliance implications affecting transactions, KYC requirements, and regulatory obligations
Serve as subject matter expert on compliance considerations for complex investment products
RIA Compliance Program Support
Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:
Compliance manual development and updates
Form ADV review and amendments
Risk assessment execution
Annual review coordination
Regulatory examination preparation and readiness
Regulatory Monitoring & Implementation
Monitor and analyze applicable regulatory developments, rulemaking, and enforcement trends
Translate regulatory developments into actionable firm policies, procedures, and business requirements
Communicate regulatory updates and their implications to relevant stakeholders
Additional Compliance Functions
Assist with Real Estate business compliance program administration
Support compliance with SEC Custody Rule requirements
Review and approve client communications for regulatory compliance