Compliance Vice President
Compliance Vice President
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
Job Description:
Compliance Associate Vice President
Guggenheim Securities
Position Summary
Guggenheim Securities GS is seeking a diligent thorough and energetic individual with excellent attention to detail to join its Compliance Registration Team. This person will work closely with Compliance Officers Human Resources and Broker-Dealer personnel to assist with the preparation coordination and transmission of regulatory broker-dealer and registered representatives filings. The position is located in Guggenheims New York office.
Prior compliance experience is strongly preferred.
Essential Job Functions
- Coordinate with the Compliance Departments of the Firms Broker-Dealers and the Human Resources Department for the firms regulatory pre-hire/on-boarding process and off-boarding
- Assist with registration and regulatory requirements for the Firms Broker-Dealer associated persons including Forms U4 and U5 regulatory examinations continuing education and fingerprinting
- Maintain required document retention records
- Assist with various projects
Preferred Qualifications
- BA or BS required
- Strong written and oral communication skills
- Must be able to work with various teams in a professional environment
- Strong organization skills and attention to detail
- Proficient in Microsoft Outlook Word and Excel
- Knowledge or experience with FINRA Registration
Basic Qualifications
- 3 5 years of registration experience in the financial services
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 $
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.
For more information please visit follow us on LinkedIn or contact us at or 212.518.9200.
Guggenheim Securities LLC (GS) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual and GS will not pay a fee to any entity or individual for such submission.
Required Experience:
Exec
Employment Type
Full-Time
