Guggenheim Securities
Compliance Officer- Associate/Vice President
Guggenheim Securities, New York, New York, us, 10261
Compliance Officer- Associate/Vice President
Join to apply for the
Compliance Officer- Associate/Vice President
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Guggenheim Securities Compliance Officer- Associate/Vice President
1 day ago Be among the first 25 applicants Join to apply for the
Compliance Officer- Associate/Vice President
role at
Guggenheim Securities Get AI-powered advice on this job and more exclusive features. Job Description
Associate/Vice President - Compliance Officer Job Description
Associate/Vice President - Compliance Officer
Guggenheim Securities
Position Summary
Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background.
Essential Job Functions
Establishment and day-to-day management of the compliance program Draft Annual Compliance Report File Form ADV Principal compliance advisor to the warehouse lending business
Preferred Qualifications
At least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plus Experience with and knowledge concerning structured credit transactions Experience with and knowledge of the Investment Advisers Act of 1940 Strict attention to detail combined with excellent prioritization and organization skills Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately Strong problem-solving skills and demonstrated ability to take initiative Willingness to roll up sleeves to perform all responsibilities needed to ensure success
Work Location
Currently, this role is expected to be in the New York office at least 4 days per week.
Salary
Annual base salary of $130,000.
The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
About Guggenheim Securities
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston. Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartner.com or 212.518.9200.
About Us
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.
For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.
Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission. Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Legal Referrals increase your chances of interviewing at Guggenheim Securities by 2x Sign in to set job alerts for “Compliance Officer” roles.
New York, NY $130,000.00-$155,000.00 4 weeks ago Queens, NY $200,000.00-$250,000.00 6 days ago New York, NY $142,000.00-$185,000.00 6 days ago New York, NY $135,000.00-$150,000.00 1 week ago White Plains, NY $95,000.00-$105,000.00 5 days ago New York, NY $150,000.00-$200,000.00 1 month ago New York, NY $275,000.00-$300,000.00 4 days ago New York, NY $340,000.00-$500,000.00 9 months ago New York, NY $84,500.00-$120,400.00 1 day ago Buffalo-Niagara Falls Area $160,000.00-$170,000.00 16 hours ago Finance Manager, Payments, Amazon Payments Finance
New York, United States $125,200.00-$207,000.00 1 week ago New Hyde Park, NY $150,000.00-$300,000.00 2 months ago Associate / Senior Analyst, Private Equity & Junior Capital
New York, NY $110,000.00-$217,000.00 1 week ago New York, NY $80,000.00-$120,000.00 8 hours ago New York, United States $110,000.00-$120,000.00 1 day ago New York, NY $85,000.00-$100,000.00 15 hours ago Port Washington, NY $250,000.00-$300,000.00 4 days ago New York, NY $230,000.00-$280,000.00 1 month ago New York, NY $65,000.00-$100,000.00 15 hours ago New York, NY $143,000.00-$185,000.00 5 days ago Director, Finance (M&A and Investor Relations)
New York, NY $170,000.00-$210,000.00 16 hours ago New York, NY $50,000.00-$75,000.00 6 days ago New York, NY $150,000.00-$200,000.00 1 week ago New York, NY $105,000.00-$115,000.00 5 days ago New York, NY $125,000.00-$150,000.00 5 days ago New York, NY $250,000.00-$300,000.00 2 weeks ago New York, United States $85,900.00-$179,500.00 2 weeks ago New York, NY $73,910.00-$116,380.00 6 days ago New York, NY $89,250.00-$150,250.00 5 days ago New York, NY $145,000.00-$175,000.00 4 days ago New York, United States $200,000.00-$200,000.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Join to apply for the
Compliance Officer- Associate/Vice President
role at
Guggenheim Securities Compliance Officer- Associate/Vice President
1 day ago Be among the first 25 applicants Join to apply for the
Compliance Officer- Associate/Vice President
role at
Guggenheim Securities Get AI-powered advice on this job and more exclusive features. Job Description
Associate/Vice President - Compliance Officer Job Description
Associate/Vice President - Compliance Officer
Guggenheim Securities
Position Summary
Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background.
Essential Job Functions
Establishment and day-to-day management of the compliance program Draft Annual Compliance Report File Form ADV Principal compliance advisor to the warehouse lending business
Preferred Qualifications
At least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plus Experience with and knowledge concerning structured credit transactions Experience with and knowledge of the Investment Advisers Act of 1940 Strict attention to detail combined with excellent prioritization and organization skills Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately Strong problem-solving skills and demonstrated ability to take initiative Willingness to roll up sleeves to perform all responsibilities needed to ensure success
Work Location
Currently, this role is expected to be in the New York office at least 4 days per week.
Salary
Annual base salary of $130,000.
The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
About Guggenheim Securities
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston. Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartner.com or 212.518.9200.
About Us
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.
For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.
Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission. Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Legal Referrals increase your chances of interviewing at Guggenheim Securities by 2x Sign in to set job alerts for “Compliance Officer” roles.
New York, NY $130,000.00-$155,000.00 4 weeks ago Queens, NY $200,000.00-$250,000.00 6 days ago New York, NY $142,000.00-$185,000.00 6 days ago New York, NY $135,000.00-$150,000.00 1 week ago White Plains, NY $95,000.00-$105,000.00 5 days ago New York, NY $150,000.00-$200,000.00 1 month ago New York, NY $275,000.00-$300,000.00 4 days ago New York, NY $340,000.00-$500,000.00 9 months ago New York, NY $84,500.00-$120,400.00 1 day ago Buffalo-Niagara Falls Area $160,000.00-$170,000.00 16 hours ago Finance Manager, Payments, Amazon Payments Finance
New York, United States $125,200.00-$207,000.00 1 week ago New Hyde Park, NY $150,000.00-$300,000.00 2 months ago Associate / Senior Analyst, Private Equity & Junior Capital
New York, NY $110,000.00-$217,000.00 1 week ago New York, NY $80,000.00-$120,000.00 8 hours ago New York, United States $110,000.00-$120,000.00 1 day ago New York, NY $85,000.00-$100,000.00 15 hours ago Port Washington, NY $250,000.00-$300,000.00 4 days ago New York, NY $230,000.00-$280,000.00 1 month ago New York, NY $65,000.00-$100,000.00 15 hours ago New York, NY $143,000.00-$185,000.00 5 days ago Director, Finance (M&A and Investor Relations)
New York, NY $170,000.00-$210,000.00 16 hours ago New York, NY $50,000.00-$75,000.00 6 days ago New York, NY $150,000.00-$200,000.00 1 week ago New York, NY $105,000.00-$115,000.00 5 days ago New York, NY $125,000.00-$150,000.00 5 days ago New York, NY $250,000.00-$300,000.00 2 weeks ago New York, United States $85,900.00-$179,500.00 2 weeks ago New York, NY $73,910.00-$116,380.00 6 days ago New York, NY $89,250.00-$150,250.00 5 days ago New York, NY $145,000.00-$175,000.00 4 days ago New York, United States $200,000.00-$200,000.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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