Compliance Team Lead

6 days ago


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

Job Summary

Guggenheim Partners is seeking a highly motivated and self-directed professional to join its Compliance team as a VP, Control Room. This role presents an opportunity to grow in a fast-paced organization while supporting a critical function that protects our clients' interests.

Key Responsibilities

  • Monitor and manage 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 investigate 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.
  • Bachelor's degree required.
  • 3+ years of financial services industry experience.

Compensation

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

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.


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