Business Operations Specialist

7 days ago


New York, New York, United States Guggenheim Securities Full time
About the Role

The Business Operations Specialist position at Guggenheim Securities requires a motivated individual to support the Firm's culture of Risk Management and Compliance. This role involves conducting reviews of Electronic Communications, developing an understanding of Firm policies and procedures, and exercising sound judgment in detecting potential violations.

Responsibilities
  1. Assure employees' adherence to applicable laws, rules, and regulations via Firm and Regulatory policies
  2. Develop and maintain a solid understanding of Firm policies and procedures to support the detection of potential violations
  3. Remain current with regulatory and internal policy changes
Qualifications
  • ~1-3 years' experience in the financial industry preferred but not required
  • ~ Bachelor's Degree
  • ~ Securities Industry Essentials (SIE) and Series 79 preferred or commitment to obtain within 6 months of joining the Firm
Work Environment

This role is expected to be based in the New York office, with occasional remote work possible.



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