Compliance Associate at Guggenheim Securities
Description
Job Description Position Summary Guggenheim Securities is seeking a motivated compliance professional to assist its Compliance Team.
The successful candidate will assist a highly collaborative team in the New York office who supports the administration of Guggenheim Securities Compliance policies as it relates to personal trading and employee activities.
The individual must be highly organized and detail oriented.
Essential Job Functions Process personal account disclosure and pre-clearance forms Review Gift and Entertainment requests Reconcile personal trading data that comes via the electronic feed via our third party vendor Manage the receipt of paper statements for brokerage accounts held at non-designated broker dealers Review employee certification documents on an annual basis and action accordingly Answer employee inquiries related to employee activities via the phone hotline and shared mailbox Perform Ad hoc reporting and complete projects related to data reconciliation Assist in streamlining workflows and document utilizing schematics Review employee activity data/metrics and identify trends and patterns Review reported outside business activities and private investments and perform conflict checks Perform personal trading surveillance to ensure compliance with our personal trading policy.
Deliver new hire Compliance training to newly onboarded employees.
Preferred Qualifications Excellent analytical, reasoning, and problem-solving skills Excellent verbal, written and interpersonal communication skills Ability to multi-task, meet deadlines and handle multiple projects/priorities Ability to work well independently as well as collaboratively Detail oriented and adaptable Motivated with a desire to learn and deliver results Prior work experience with Code of Ethics or Compliance is an added advantage Knowledge of the Financial Industry Possess self-confidence and can interact successfully with all levels of personnel Have a strong sense of responsibility and responsiveness Basic Qualifications Bachelor’s/University degree 3-5 years working in the financial industry.
Proficiency in Excel and Microsoft Office Applications 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 $115,000 and $120,000.
- Role: Compliance Associate
- Company: Guggenheim Securities
- Location: New York, NY
- Job found on: 27th of October, 2025
