Guggenheim Securities
Equity Research Senior Compliance Officer - VP
Guggenheim Securities, New York, New York, us, 10261
Job Description:
Position Summary
Guggenheim Securities is seeking an experienced professional to join the Compliance Department in a senior role covering the Equity Research Department, including the Firm's Corporate Access Group ("Research Compliance Officer"). The Equity Research Compliance Officer provides real-time advice and support to management and front office personnel in a fast-paced environment and implements the Equity Research and Corporate Access compliance programs, including policies, procedures, training and testing to fulfill regulatory obligations and promote best practices.
Essential Job Functions Compliance coverage of the Equity Research Department and Corporate Access Team, including advising on communications with the public and core compliance issues more generally (collaboratively with relevant compliance colleagues) Interpret and advise on all facets of Equity Research independence, including but not limited to FINRA Rule 2241, Reg. FD, Reg. AC and related rules and regulatory developments, interpretations and enforcement actions Create and deliver policy updates and training on core matters, as well as new regulatory requirements and similar matters requiring updates Work with management, the business controls and Compliance Surveillance to ensure proper supervision, oversight and testing of important functions Liaise with the Compliance Control Room on issues, escalations and projects, as needed Assist with research disclosure processes, expert network screening and responding to regulatory inquiries Participate in Research Oversight and Compensation Committees Preferred Qualifications
Comfortable interacting directly with all levels of Research and Firm personnel Familiarity with corporate access functions, research marketing, capital markets transactions, information barriers and protection of confidential information Strong problem-solving skills and demonstrated ability to take initiative and critically analyze processes and procedures and make necessary updates, as needed Proactive and solutions-oriented; innovative, self-starter Demonstrated ability to use good judgment; maintaining integrity at all times Basic Qualifications
Bachelor's Degree required 5-10 years' experience in a broker-dealer compliance role, including coverage of Equity Research (preferred), Control Room and/or Investment Banking Compliance Work Location
Currently, this role is expected to be in the New York office at least 4 days per week Salary
Annual base salary between $160,000 - $175,000 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 is seeking an experienced professional to join the Compliance Department in a senior role covering the Equity Research Department, including the Firm's Corporate Access Group ("Research Compliance Officer"). The Equity Research Compliance Officer provides real-time advice and support to management and front office personnel in a fast-paced environment and implements the Equity Research and Corporate Access compliance programs, including policies, procedures, training and testing to fulfill regulatory obligations and promote best practices.
Essential Job Functions Compliance coverage of the Equity Research Department and Corporate Access Team, including advising on communications with the public and core compliance issues more generally (collaboratively with relevant compliance colleagues) Interpret and advise on all facets of Equity Research independence, including but not limited to FINRA Rule 2241, Reg. FD, Reg. AC and related rules and regulatory developments, interpretations and enforcement actions Create and deliver policy updates and training on core matters, as well as new regulatory requirements and similar matters requiring updates Work with management, the business controls and Compliance Surveillance to ensure proper supervision, oversight and testing of important functions Liaise with the Compliance Control Room on issues, escalations and projects, as needed Assist with research disclosure processes, expert network screening and responding to regulatory inquiries Participate in Research Oversight and Compensation Committees Preferred Qualifications
Comfortable interacting directly with all levels of Research and Firm personnel Familiarity with corporate access functions, research marketing, capital markets transactions, information barriers and protection of confidential information Strong problem-solving skills and demonstrated ability to take initiative and critically analyze processes and procedures and make necessary updates, as needed Proactive and solutions-oriented; innovative, self-starter Demonstrated ability to use good judgment; maintaining integrity at all times Basic Qualifications
Bachelor's Degree required 5-10 years' experience in a broker-dealer compliance role, including coverage of Equity Research (preferred), Control Room and/or Investment Banking Compliance Work Location
Currently, this role is expected to be in the New York office at least 4 days per week Salary
Annual base salary between $160,000 - $175,000 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.