Guggenheiminvestment
UIT Trading & Origination Senior Associate
Chicago, IL · Senior
Sponsorship not specified$110k-$120kDetected 12 days ago
Project ManagementExcelCommunicationProblem Solving
About the role
- Guggenheim Investments is seeking a UIT Trading and Origination Senior Associate to join the Unit Investment Trusts (UITs) team.
- This position will be located in our Lisle, IL office.
Responsibilities
- Manage regulatory filings and documentation related to Unit Investment Trusts (UITs), ensuring compliance with applicable SEC and Investment Company Act requirements
- Review and validate regulatory filings for accuracy and adherence to internal and external standards
- Monitor and reconcile daily data exchanges with third-party vendors, service providers, and broker/dealer partners
- Support product launches and ongoing trust administration activities through coordination with internal teams and external partners
- Maintain accurate records, procedures, and controls supporting operational processes
Requirements
- Bachelor's degree in Finance, Business, or a related field
- 3+ years of experience in financial services or a related field
- FINRA Series 7 license required within three months of start date
- Proficiency in Microsoft Excel
- The position requires strong attention to detail, analytical skills, and the ability to organize and prioritize work to meet business needs and deadlines.
- Partner with Legal, Compliance, and external auditors to prepare and submit registration statements and other required filings
- Maintain a strong understanding of UIT products, regulatory requirements, and industry practices
Nice to have
- Prior experience with Unit Investment Trusts (UITs), mutual funds, or other registered investment products
- Familiarity with SEC filing systems (e.g., EDGAR) and registration statement preparation
- Project management with proven ability to execute tasks independently
Compensation
- Annual base salary between
- $110,000.00-$120,000.00
- 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.
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