Vice President, Enterprise Compliance
Guggenheim Partners•New York, NY
•$150,000 - $170,000•Onsite
About The Position
Guggenheim Securities (GS) is seeking to hire a seasoned Enterprise Compliance VP to join its Enterprise Compliance team. The primary objective of this role is to help shape, execute and continually improve the Firm’s enterprise compliance program.
Requirements
- Bachelor's / University degree
- 7+ years relevant experience with a regulator, broker-dealer or other financial services institution
- PowerPoint/Excel skills
Nice To Haves
- Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and research
- Proven track record conducting branch inspections and leading thematic compliance reviews
- Experience with developing and maintaining risk assessments and surveillance systems
- Experience with surveillance tasks, including email and transaction review
- Demonstrated authorship of WSPs, compliance policies
- Data organization and analysis proficiency, including the ability to develop relevant metrics based on data sets
- Excellent verbal and written communication skills
- Highly organized, strong attention to detail
- Demonstrated ability to manage multiple priorities, meet deadlines and operate independently in a fast-paced environment
- Be a critical thinker, proactive, and creative
- Have a positive, hands-on, “can-do” attitude
Responsibilities
- Support the execution of the Compliance Monitoring and Testing Program to mitigate risks and ensure adherence to regulatory requirements and internal policies and procedures
- Partner with compliance stakeholders to complete risk assessments and conduct targeted deep-dive reviews of business activities
- Execute the branch inspection program end to end
- Prepare reports identifying issues, partner with issue owners to develop solutions, and drive remediation to closure
- Contribute to surveillance enhancements and strategic surveillance initiatives, including the review, analysis and investigation of alerts and issues within the surveillance program
- Help train junior staff members
- Support the management of regulatory inquiries and investigations
- Assist with metrics tracking and reporting across compliance functions
- Help enhance and execute the regulatory change management program
- Contribute to the development and maintenance of policies and procedures
- Draft and assist in the preparation of the FINRA Rule 3120 Annual Compliance Report and the SEC Rule 15c3-5 Market Access Report
- Lead and support ad-hoc Compliance projects
- Help build, refine and track compliance KPIs and KRIs to measure program effectiveness
Benefits
- Incentive compensation
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Upload and Match Resume
What This Job Offers
Job Type
Full-time
Career Level
Manager
