Control Room Associate/VP

Job Description:

Position Summary

Guggenheim Securities is seeking an experienced Control Room professional to join its Control Room team. This person will be responsible for partnering with business and corporate leaders of the Investment Bank to ensure full understanding of compliance with relevant reputational regulatory and legal requirements applicable to the Control Room. The successful candidate will interact with all levels of the organization including executive management and have the ability to thrive in a fastpaced environment.

Essential Job Functions

• Maintenance of the Firms watch and restricted list.
• Conduct conflict reviews for transactional activity across all business units and advise business units on conflicts identification review and escalation.
• Analyze and apply appropriate restrictions on Sales Trading and Research activities.
• Oversee the Firms Investment Banking transactions and projects database.
• Provide advice on and monitor interactions and communications between Research and Investment Banking.
• A working knowledge of applicable FINRA rules SEC rules and relevant industry best practices.
• Review research reports public appearances and nondeal roadshow requests and advise the Research Department on required restrictions on its activities.
• Process and manage wallcrossing requests.
• Assist in preparing responses to FINRA underwriter questionnaires.
• Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
• Rotational weekend coverage
• Control Room Trade Surveillance
• Provide advice on and monitor interactions and communications between Research and Investment Banking including chaperoning calls/meetings between Investment Banking and Research.

Preferred Qualifications

• Knowledge of sales trading and research restrictions related to corporate finance and/or financial advisory transactions.
• Track record of effective maintenance and monitoring of Firm information barriers.
• Excellent verbal and written communication skills and strong professional demeanor.
• Proven ability to work well in a team showing initiative a positive attitude and the motivation to complete work independently as well.
• Ability to understand and analyze compliance issues and recommend commercially effective solutions.
• Proficient in Microsoft Office including the ability to work comfortably within Excel. Analytical skills required to keep up with the evolving regulatory and industry environment.
• Resultsorientated focus toward action and a track record of achievement.
• Strong written verbal and presentation skills.
• Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.

Basic Qualifications

• Bachelors degree
• 35 years of experience as a Control Room / Investment Banking Compliance professional within a large fullservice investment bank 2 years in a compliance control room.
• Knowledge of sales trading and research restrictions related to corporate finance and/or financial advisory transactions.

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 $120000 and $135000.
• 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 follow us on LinkedIn or contact us at or 212.518.9200.