Guggenheim Securities · 1 day ago
Experienced Associate/Vice President - Compliance
New York, NY
Full-time
Onsite
Mid Level
$110K/yr - $135K/yr
3+ years expGuggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. They are seeking a diligent individual to join their Compliance Registration Team to assist with regulatory filings and various compliance-related tasks.
Financial Services
Responsibilities
Coordinate with the Compliance Departments of the Firm’s Broker-Dealers and the Human Resources Department for the firm’s regulatory pre-hire/on-boarding process and off-boarding
Assist with registration and regulatory requirements for the Firm’s Broker-Dealer associated persons including Forms U4 and U5, regulatory examinations, continuing education and fingerprinting
Maintain required document retention records
Assist with various projects
Qualification
Required
Prior compliance experience is strongly preferred
3 – 5 years of registration experience in the financial services
Preferred
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
Company
Guggenheim Securities
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. It is a sub-organization of Guggenheim Partners.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Mark Van Lith
Chief Executive Officer
Recent News
2026-01-07
2025-12-17
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