Policies, Procedures, & Controls - Vice President

Guggenheim Investments • New York City, NY

2d • Onsite

About The Position

Guggenheim Investments (“GI” or “Firm”) is seeking a Vice President to join its Policies, Procedures, and Controls team. The team, which is part of the Office of the President, is the core driver of the Firm’s governance framework for policies, procedures and related documentation, with direct responsibility for developing, managing, and enhancing the policies and procedures that support GI’s investment management and operational activities. This Vice President will work in a fast-paced, growing environment and will collaborate closely with subject matter experts and senior stakeholders across the Firm, including Investment Management, Portfolio Management, Operations, Client Services, Marketing, Compliance, Legal, and Risk Management. The role requires being highly proactive, execution-focused, and will be central to how the Firm documents, governs, and communicates its processes and controls. The position is based in our New York City office, full-time.

Requirements

• 7+ years of experience in a financial services organization or equivalent experience at a top consulting or law firm
• Bachelor’s degree required
• Excellent written and oral communication skills, including the ability to write clearly, concisely, and logically for different audiences and to distill complex processes into well-structured documentation
• Strong analytical, critical thinking, and problem-solving skills, with the ability to quickly understand how products, processes, systems, and controls fit together and to translate that understanding into robust documentation
• Demonstrated ability to work effectively on multiple projects and initiatives simultaneously, under tight deadlines and in a high-pressure environment, while maintaining high quality and accuracy
• High level of attention to detail and a strong focus on accuracy, combined with the ability to understand broader implications of changes to policies and procedures
• Proactive, issue-spotting, and solutions-oriented mindset; innovative and comfortable identifying gaps, proposing improvements, and driving work forward with minimal supervision
• Genuine interest in learning how products, processes, and systems work, and in engaging deeply with subject matter experts to understand new or complex topics
• Proven ability to build and maintain strong relationships with stakeholders across functions and levels, including investment, operations, control, and support teams
• Collaborative working style, with the ability to operate independently, and take ownership of deliverables

Nice To Haves

• Advanced degree (such as JD, MBA, or a relevant graduate degree)
• Minimum of 10 years of progressive experience in policy/procedure roles – legal practice, internal audit, technical documentation, or the like
• Experience in asset management, investment banking, private equity, or institutional investments
• Business process improvement, large scale, global transformation experience is a plus

Responsibilities

• Develop, draft, and update policies, procedures, process flows, checklists, charters, and related documentation to accurately reflect Firm practices, products, processes, and regulatory requirements.
• Own and manage the end-to-end lifecycle for assigned documentation, including identifying the need for new or revised documents, working with subject matter experts to understand processes and controls, drafting and refining content, navigating internal governance and approvals, and coordinating formal issuance in line with Firm standards.
• Proactively identify opportunities to enhance documentation governance frameworks, workflows, and standards to promote consistency, clarity, and operational efficiency across the Firm.
• Maintain centralized inventories and repositories to ensure documentation is current, organized, easily retrievable, and effectively embedded into business and control processes.
• Lead and support various projects and initiatives, by helping to define and track milestones and deliverables, and ensuring timely completion in a high-demand environment.
• Address ad hoc projects and initiatives related to policies, procedures, governance, and process documentation in response to evolving business needs, regulatory expectations, and strategic priorities.
• Prepare and contribute to materials and reports for senior management and governance forums.
• Develop and maintain high-quality PowerPoint, Word, Excel, and Visio materials, ensuring a professional, consistent, and accurate presentation aligned with Firm standards.
• Monitor Internal Audits, including reviewing/challenging Internal Audit findings, and assisting with drafting remediation Action Plans, where applicable.

What This Job Offers

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