Vice President, Counsel

About the role

Position Summary Guggenheim is seeking an experienced Vice President, Counsel to serve as a broad-based generalist reporting to a managing director in the Legal Group. This role will span economic sanctions and AML, anti-bribery and corruption, including political contributions and pay-to-play, data privacy and cyber security, trademark and brand protection, litigation, investigations and enforcement. This role will join a highly collaborative team responsible for supporting various functions at the corporate level. This role will assist with a variety of daily matters faced by the in-house legal group related to the growth of a global, diversified financial services business. The successful candidate will have independent legal judgment and drafting ability and experience in a variety of subject areas with an eagerness to grow and assist across a broad range of matters, developing broad in-house legal skills. This position presents an opportunity to work on interesting and challenging legal matters while being involved in a dynamic growing organization and department. The position is located in the firm’s Chicago Office and has the opportunity to report under a Hybrid work arrangement.

About Us Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

Responsibilities

• Conduct reviews and administer the firm's sanctions screening program across OFAC, UK, EU, and other regimes, including screening of counterparties, vendors, and prospective employees, and pre-approval of activity involving higher-risk jurisdictions
• Administer the firm's pay-to-play and political contribution pre-clearance process, including legal review, identifying courses of action, and documenting resolutions
• Manage the privacy and cybersecurity program, including ensuring compliance with requirements across the US, UK, EU, and other jurisdictions; negotiating data processing agreements and privacy and security terms with vendors; and supporting the business and IT on related inquiries
• Conduct security and privacy reviews and serve as legal lead in incident response alongside the CISO, scoping incidents, determining notification obligations, and directing next steps
• Manage the firm-wide trademark portfolio, including new filings, jurisdiction strategy, renewals and maintenance deadlines, and addressing issues that arise
• Manage and/or provide legal support to Chief Legal Officer on disputes, regulatory issues, investigation and enforcement and related matters, including arbitration and litigation, conducting document review and e-discovery searches, and reviewing filings and other documents
• Serve as a responsive day-to-day in-house resource on matters, including providing advice, negotiating and drafting a range of documents
• Draft, revise and maintain policies and procedures pertaining to relevant practice areas, and build forms, templates, and playbooks
• Serve as a generalist attorney resource on legal, compliance and business matters and projects as they arise

Skills

• Working knowledge of OFAC sanctions administration and AML/KYC concepts
• Working knowledge of political contribution and pay-to-play pre-clearance regimes, including Advisers Act Rule 206(4)-5 and applicable state and municipal rules
• Substantive familiarity with US state privacy laws and UK/EU GDPR, including cross-border transfer mechanics
• Experience advising on data incident response, including identifying the breadth of an issue and assessing notification obligations across jurisdictions
• Meaningful exposure to trademark, litigation and regulatory investigation/enforcement practice areas, including hands-on experience with e-discovery, and enterprise email search platforms
• Experience working within an organization distributed across geographic locations