Vice President, Enterprise Compliance

Position Summary

Guggenheim Securities (“GS”) is seeking to hire a seasoned Enterprise Compliance VP to join its Enterprise Compliance team. The primary objective of this role is to help shape, execute and continually improve the Firm’s enterprise compliance program.

About the role

• Support the execution of the Compliance Monitoring and Testing Program to mitigate risks and ensure adherence to regulatory requirements and internal policies and procedures
• Partner with compliance stakeholders to complete risk assessments and conduct targeted deep-dive reviews of business activities
• Prepare reports identifying issues, partner with issue owners to develop solutions, and drive remediation to closure
• Contribute to surveillance enhancements and strategic surveillance initiatives, including the review, analysis and investigation of alerts and issues within the surveillance program
• Train junior staff members
• Support the management of regulatory inquiries and investigations
• Aid in metrics tracking and reporting across compliance functions
• Enhance and execute the regulatory change management program
• Contribute to the development and maintenance of policies and procedures
• Draft and assist in the preparation of the FINRA Rule 3120 Annual Compliance Report and the SEC Rule 15c3-5 Market Access Report
• Lead and support ad-hoc Compliance projects
• Build, refine and track compliance KPIs and KRIs to measure program effectiveness

Responsibilities

• Support the execution of the Compliance Monitoring and Testing Program to mitigate risks and ensure adherence to regulatory requirements and internal policies and procedures
• Partner with compliance stakeholders to complete risk assessments and conduct targeted deep-dive reviews of business activities
• Prepare reports identifying issues, partner with issue owners to develop solutions, and drive remediation to closure
• Contribute to surveillance enhancements and strategic surveillance initiatives, including the review, analysis and investigation of alerts and issues within the surveillance program
• Train junior staff members
• Support the management of regulatory inquiries and investigations
• Aid in metrics tracking and reporting across compliance functions
• Enhance and execute the regulatory change management program
• Contribute to the development and maintenance of policies and procedures
• Draft and assist in the preparation of the FINRA Rule 3120 Annual Compliance Report and the SEC Rule 15c3-5 Market Access Report
• Lead and support ad-hoc Compliance projects
• Build, refine and track compliance KPIs and KRIs to measure program effectiveness

Requirements

• Knowledge of laws, rules, regulatory requirements, and risks impacting broker-dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and research
• Proven track record conducting branch inspections and leading thematic compliance reviews
• Experience with developing and maintaining risk assessments and surveillance systems
• Experience with surveillance tasks, including email and transaction review
• Demonstrated authorship of WSPs, compliance policies
• Data organization and analysis proficiency, including the ability to develop relevant metrics based on data sets
• Excellent verbal and written communication skills
• Highly organized, strong attention to detail
• Demonstrated ability to manage multiple priorities, meet deadlines and operate independently in a fast-paced environment
• Be a critical thinker, proactive, and creative
• Have a positive, hands-on, “can-do” attitude

Qualifications

• Bachelor's / University degree
• 7+ years relevant experience with a regulator, broker-dealer or other financial services institution
• PowerPoint/Excel skills

Pay

Annual base salary is between $150,000 and $170,000. The base salary represents the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The amount listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

Schedule

Currently, this role is expected to be in the New York office at least 4 days per week.

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.

Company Information

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.