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VP, Control Room Operations

2 months ago

New York, New York, United States Guggenheim Partners Full time

Job Summary

Guggenheim Investments (GI) is seeking a detail-oriented and self-directed professional to join its Compliance team, reporting to the Vice President of the Control Room. This role presents an opportunity to grow in a fast-paced organization while supporting a critical function that protects our clients' interests.

The position is based in New York with opportunities to work hybrid.

Key Responsibilities

Responsible for monitoring and managing the Firm's information barriers for the GI Control Room, including:

  • Working directly with GI Business and GI Compliance to maintain the GI Restricted List and the GI Watch List by providing guidance regarding material non-public information (MNPI) determinations and restriction status.
  • Facilitating affiliate and external wall crossings by identifying relevant parties and their tradable instruments; evaluating whether the business can receive MNPI; consulting with Portfolio Managers; and escalating to senior GI Compliance, GI Risk, and GI Investment management where applicable.
  • Interacting with GI Traders and Portfolio Managers in connection with pre-trade exception approval for issuers on the GI Restricted List consistent with applicable legal, regulatory, and policy considerations.
  • Performing post-trade surveillance of all trades against the GI Restricted List and investigating any trades requiring follow-up.
  • Performing daily surveillance of GI access to third-party sites to determine whether GI is private in an issuer's data room.
  • Performing surveillance of electronic communications.
  • Drafting, reviewing, and updating Control Room-related written procedures.
  • Developing and leading trainings regarding the GI Restricted List and related issues.
  • Reviewing NDAs for contractual trading restrictions and standstill provisions.
  • Working on special Compliance projects and other operational tasks.

Requirements

Self-starter with excellent organizational and communication skills. Must be detail-oriented and have excellent oral and written communication skills. JD a plus.

Qualifications

Bachelor's degree required. 3+ years of financial services industry experience.

Compensation

Annual base salary between $110,000 and $125,000.