Guggenheim Securities
Business Controls Group ("BCG") — Analyst
New York · Internship
Sponsorship not specified$80k-$90kDetected 30 days ago
PythonSQLData AnalysisData VisualizationAccountingExcelResearchCommunicationCollaborationAdaptabilityMicrosoft Office
About the role
- The firm provides advisory, sales and trading, and research services to institutional investors and corporate clients.
- The Business Controls Group ("BCG") serves as Guggenheim Securities' designated first line of defense, providing delegated supervisory oversight of the firm's Sales & Trading and Equity Research operations.
- Working under the guidance of senior team members, the Analyst will learn to use a variety of surveillance tools and data analytics capabilities to help monitor trading activity, electronic communications, employee personal trading, and operational risk.
Responsibilities
- Positive, team-oriented attitude with a willingness to support colleagues across the organization
- Support senior team members in maintaining surveillance rules, thresholds, and documentation
- Help gather information and support data for investigations into flagged activity
- Prepare ad-hoc reports and assist with quantitative data analysis to support the team and Business Unit stakeholders
- Help maintain documentation used for regulatory examinations, internal audits, and management reporting
- Support projects related to new and evolving SEC, FINRA, and other regulatory requirements
- Document findings clearly and concisely, with guidance from senior team members
- Perform additional responsibilities as assigned
Requirements
- Bachelor's degree in Finance, Business, Economics, Accounting, or a related field
- Willingness and ability to obtain FINRA registrations 7, 57, 63, and 24 (Series 4 required or must be obtained within a defined period)
- Strong attention to detail and a demonstrated ability to work carefully with data
- Proficiency in Microsoft Excel, Word, and PowerPoint
Nice to have
- Prior internship experience at a broker-dealer, exchange, regulator, or financial services firm
- Coursework or hands-on exposure to data analysis tools (e.g., SQL, Python, Tableau)
- Exposure to surveillance, compliance, audit, or risk concepts through coursework, certifications, or prior internships
- Analytical Mindset: Curiosity and care in working with data
- Communication: Clear written and verbal communication
- ability to ask thoughtful questions and present findings appropriately for the audience
- Integrity & Professionalism: Strong ethical standards and discretion when handling sensitive information
- Eagerness to Learn: Self-starter who is proactive about asking questions, taking feedback, and growing into broader responsibilities
Skills
- Contribute to cross-functional initiatives to help strengthen the firm's control framework
Compensation
- Annual base salary between $80,000 - $90,000.
- The base salary range represents the low and high end of the anticipated base salary range for this position.
- The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation
Company info
- 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.
- This role is well suited for a motivated early-career professional who is eager to learn, detail-oriented, and excited to develop a career in financial services controls and compliance.
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This listing is sourced directly from Guggenheim Securities's careers page and normalized into a canonical job model.