Compliance Officer- Associate/Vice President

Compliance Officer- Associate/Vice PresidentJoin to apply for the Compliance Officer- Associate/Vice President role at Guggenheim SecuritiesCompliance Officer- Associate/Vice President1 day ago Be among the first 25 applicantsJoin to apply for the Compliance Officer- Associate/Vice President role at Guggenheim SecuritiesGet AI-powered advice on this job and more exclusive features.Job DescriptionAssociate/Vice President - Compliance OfficerJob DescriptionAssociate/Vice President - Compliance OfficerGuggenheim SecuritiesPosition SummaryGuggenheim 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 FunctionsEstablishment and day-to-day management of the compliance programDraft Annual Compliance ReportFile Form ADVPrincipal compliance advisor to the warehouse lending businessPreferred QualificationsAt least 4 years of relevant experience at a regulator or in-house, with institutional asset management experience a plusExperience with and knowledge concerning structured credit transactionsExperience with and knowledge of the Investment Advisers Act of 1940Strict attention to detail combined with excellent prioritization and organization skillsResults-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriatelyStrong problem-solving skills and demonstrated ability to take initiativeWillingness to roll up sleeves to perform all responsibilities needed to ensure successWork LocationCurrently, this role is expected to be in the New York office at least 4 days per week.SalaryAnnual 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 SecuritiesGuggenheim 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 UsGuggenheim 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 levelSeniority levelMid-Senior levelEmployment typeEmployment typeFull-timeJob functionJob functionLegalReferrals increase your chances of interviewing at Guggenheim Securities by 2xSign in to set job alerts for “Compliance Officer” roles.New York, NY $130,000.00-$155,000.00 4 weeks agoQueens, NY $200,000.00-$250,000.00 6 days agoNew York, NY $142,000.00-$185,000.00 6 days agoNew York, NY $135,000.00-$150,000.00 1 week agoWhite Plains, NY $95,000.00-$105,000.00 5 days agoNew York, NY $150,000.00-$200,000.00 1 month agoNew York, NY $275,000.00-$300,000.00 4 days agoNew York, NY $340,000.00-$500,000.00 9 months agoNew York, NY $84,500.00-$120,400.00 1 day agoBuffalo-Niagara Falls Area $160,000.00-$170,000.00 16 hours agoFinance Manager, Payments, Amazon Payments FinanceNew York, United States $125,200.00-$207,000.00 1 week agoNew Hyde Park, NY $150,000.00-$300,000.00 2 months agoAssociate / Senior Analyst, Private Equity & Junior CapitalNew York, NY $110,000.00-$217,000.00 1 week agoNew York, NY $80,000.00-$120,000.00 8 hours agoNew York, United States $110,000.00-$120,000.00 1 day agoNew York, NY $85,000.00-$100,000.00 15 hours agoPort Washington, NY $250,000.00-$300,000.00 4 days agoNew York, NY $230,000.00-$280,000.00 1 month agoNew York, NY $65,000.00-$100,000.00 15 hours agoNew York, NY $143,000.00-$185,000.00 5 days agoDirector, Finance (M&A and Investor Relations)New York, NY $170,000.00-$210,000.00 16 hours agoNew York, NY $50,000.00-$75,000.00 6 days agoNew York, NY $150,000.00-$200,000.00 1 week agoNew York, NY $105,000.00-$115,000.00 5 days agoNew York, NY $125,000.00-$150,000.00 5 days agoNew York, NY $250,000.00-$300,000.00 2 weeks agoNew York, United States $85,900.00-$179,500.00 2 weeks agoNew York, NY $73,910.00-$116,380.00 6 days agoNew York, NY $89,250.00-$150,250.00 5 days agoNew York, NY $145,000.00-$175,000.00 4 days agoNew York, United States $200,000.00-$200,000.00 2 weeks agoWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr