Guggenheim Securities – Investment Banking Business Control Analyst
Position Summary
Guggenheim Securities seeks an enthusiastic and detail-oriented individual to join their dynamic Business Control team as an Analyst. This role supports risk management, compliance, and operational governance across Investment Banking.
About the Role
The Analyst will support delegated supervision, surveillance, and control-related responsibilities in accordance with Firm and regulatory requirements. They will develop a comprehensive understanding of internal policies and procedures to support the detection and escalation of potential policy or regulatory violations, contribute to root cause analysis, and drive remediation. The Analyst will also actively participate in the design and implementation of new processes, procedures, and enhancements to the existing control framework, including regulatory change management and new product initiatives.
Essential Job Functions
- Understand and apply business, compliance, and information security policies in day-to-day operations across the broker-dealer
- Conduct end-to-end monitoring and testing of internal controls to assess operating effectiveness and identify potential weaknesses
- Develop and maintain risk and control documentation, management reporting, and dashboards to provide transparency on operational risks and key metrics
- Help support employees’ adherence to applicable laws, rules, and regulations through the application of Firm and regulatory policies and sound ethical judgment
- Effectively support regulatory exams, internal audits, and compliance testing by remaining current with regulatory developments, internal policies, and required changes and evolving industry best practices
- Possess strong analytical and problem-solving skills with high attention to detail
Qualifications
- 1-3 years’ experience in the financial industry
- Bachelor’s Degree
- Series 79 preferred or commitment to obtain within 6 months of joining the Firm
- Excellent written and verbal skills with demonstrated leadership and project management experience
- Ability to work collaboratively across a geographically diverse team, managing multiple priorities and delivering results under tight timelines
Work Location
Currently, this role is expected to be physically in the New York office for at least 3 days per week.
Pay
Annual base salary range $70,000 – $80,000, commensurate with experience.
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 GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com 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.