Guggenheim Securities
Compliance Monitoring and Testing Analyst
Guggenheim Securities, New York, New York, us, 10261
Job Description:
Position Summary
Guggenheim Securities ("GS") is seeking to hire a Monitoring and Testing Analyst to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable laws, regulations and internal policies and procedures.
Essential Job FunctionsAssist with the development, implementation, execution and reporting of the Firm's compliance monitoring and testing program to support risk mitigation efforts and adherence to regulatory requirements and internal policies and proceduresWork with compliance partners to complete risk assessments, conduct targeted reviews of business activities and perform inspections of branch officesAssess the design of controls and test their effectivenessPrepare reports that identify issues and work with issue owners to identify solutions and ensure remediationAssist with surveillance enhancements and work on strategic surveillance projects; review, analyze and investigate issues within the surveillance platformPreferred Qualifications
Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and researchExperience in executing compliance testing and drafting reportsExperience with risk assessments and surveillance systemsData organization and analysis proficiency, including the ability to develop relevant metrics based on data setsExcellent verbal and written communication skillsHighly organized, strong attention to detailBe comfortable working both independently and in a team environmentBe a critical thinker, proactive, and creativeBe a quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervisionHave a positive, hands-on, "can-do" attitudeData analytics education and or experience is a plusBasic Qualifications
Bachelor's / University degree1 - 3 years relevant experience with a regulator, broker-dealer or other financial services institutionPowerPoint/Excel skillsWork Location
Currently, this role is expected to be in the New York office at least 4 days per weekSalary
Annual base salary between $65,000 and $90,000.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 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.
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@guggenheimpartners.com or 212.518.9200.
Position Summary
Guggenheim Securities ("GS") is seeking to hire a Monitoring and Testing Analyst to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable laws, regulations and internal policies and procedures.
Essential Job FunctionsAssist with the development, implementation, execution and reporting of the Firm's compliance monitoring and testing program to support risk mitigation efforts and adherence to regulatory requirements and internal policies and proceduresWork with compliance partners to complete risk assessments, conduct targeted reviews of business activities and perform inspections of branch officesAssess the design of controls and test their effectivenessPrepare reports that identify issues and work with issue owners to identify solutions and ensure remediationAssist with surveillance enhancements and work on strategic surveillance projects; review, analyze and investigate issues within the surveillance platformPreferred Qualifications
Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and researchExperience in executing compliance testing and drafting reportsExperience with risk assessments and surveillance systemsData organization and analysis proficiency, including the ability to develop relevant metrics based on data setsExcellent verbal and written communication skillsHighly organized, strong attention to detailBe comfortable working both independently and in a team environmentBe a critical thinker, proactive, and creativeBe a quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervisionHave a positive, hands-on, "can-do" attitudeData analytics education and or experience is a plusBasic Qualifications
Bachelor's / University degree1 - 3 years relevant experience with a regulator, broker-dealer or other financial services institutionPowerPoint/Excel skillsWork Location
Currently, this role is expected to be in the New York office at least 4 days per weekSalary
Annual base salary between $65,000 and $90,000.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 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.
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@guggenheimpartners.com or 212.518.9200.