Analyst - Business Controls

Guggenheim Partners • New York, NY

3d • $65,000 - $80,000 • Hybrid

About The Position

Guggenheim Securities is seeking an enthusiastic, detail-oriented individual to join a fast-growing team as a Business Control Analyst. This position will play an important role in supporting the Firm’s culture of Risk Management and Compliance by conducting daily electronic communications reviews and performing other control related responsibilities in accordance with Firm and regulatory requirements. The Analyst will be required to develop and maintain a solid understanding of Firm and Compliance policies and procedures to support the detection of potential policy or regulatory violations and safeguard the Firm by exercising sound judgement and escalating issues appropriately. The Analyst will actively participate in the implementation of new processes, procedures, and enhancements to the existing electronic communications surveillance framework. The ideal candidate will have some experience in the securities industry and be familiar with the basic operations, product types and processes of a broker dealer. The desire to work in a dynamic and highly collaborative environment is essential.

Requirements

• Excellent customer service skills, attention to detail and exceptional written and verbal communication skills
• Ability to work collaboratively, across a geographically diverse team
• Strong analytical and problem-solving skills

Nice To Haves

• 1-3 years’ experience in the financial industry is preferred but not required
• Bachelor’s Degree
• Securities Industry Essentials (SIE) and Series 79 preferred or commitment to obtain within 6 months of joining the Firm

Responsibilities

• Understand business, compliance, and information security policies and their day-to-day application at a broker dealer
• Help assure employees’ adherence to applicable laws, rules, and regulations via Firm and Regulatory policies and by applying sound ethical judgment regarding personal behavior
• Conduct sound business practices by escalating, managing, and reporting issues with transparency
• Remain current with regulatory and internal policy changes
• Actively participate in group discussions and key initiatives to develop and enhance current and future processes

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level