Guggenheim Securities
New Accounts, Experienced Associate
New York City, NY – U.S
Sponsorship not specifiedDetected 15 days ago
ExcelResearchCommunicationProblem SolvingTime ManagementAdaptabilityOrganizational Skills
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odds of building a lasting career here
37Risky
Cap-exempt (no lottery)0
Sponsors this role80
Entry-level history0
PERM / green-card track0
Lottery odds40
Fits your clock70
Thin sponsorship signal and lottery-bound. A low-probability bet with your clock running. Prioritize cap-exempt roles and proven entry-level sponsors first.
Lottery odds assume a STEM candidate.
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from this employer's Department of Labor filings
Files H-1B transfers
2 transfer filings in the last year, covering 2 workers. Median labor-condition decision: 8 days. An employer that already files transfers is one that can take over an existing H-1B.
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About the role
- Because account readiness directly gates the firm's ability to transact, this role sits on the critical path for revenue-generating activity across five product lines.
- include reviewing account documentation in accordance with legal and regulatory standards.
- Coverage spans product areas such as Investment Banking (both domestic and international branches), Equities Sales & Trading, Derivatives, Fixed Income, and Syndication.
Responsibilities
- Manage the periodic renewal of existing client accounts, conducting scheduled KYC refresh and ongoing due diligence reviews on a risk-based cycle, obtaining refreshed documentation and certifications from clients, and remediating expired or deficient records within established timeframes
- Facilitate Requests for Information (RFI) from external business partners and clients
- Perform suitability assessments for prospective Investment Banking investors in accordance with Confidential Marketing policies and procedures
- Manage internal approvals and signoffs
- Provide periodic evening and weekend support during active transaction periods
- Applying AI-enabled and proprietary tools to accelerate document review, client research, and verification workflows - while retaining full analytical ownership of every conclusion reached
Requirements
- Bachelor's degree or equivalent experience
- Two to four years of relevant experience in account onboarding, KYC/AML, client documentation, or a comparable operations or control function
- Some night and weekend work may be required.
Nice to have
- Familiarity with the Bank Secrecy Act, Anti-Money Laundering, Know-Your-Customer, FinCEN and Broker-Dealer rules and regulations
- Prior experience working in the financial services industry, with a background in documentation, is preferred
- Demonstrated ability to prioritize and handle multiple projects and assignments
- Highly organized, detail oriented and thorough, ensuring all work processes are completed accurately and appropriately
- Demonstrates consistent professionalism in communication and can clearly articulate complex or problematic situations
- Strong team player with a positive, collaborative attitude
- Proactive, able to anticipate needs, take initiative, operate independently, and recognize when escalation is necessary
- Adaptable and able to respond effectively to changing situations
Compensation
- Annual base salary between $80,000 and $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.
- 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.
- 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.
- Guggenheim Securities offers services that fall into four broad categories:
- Advisory, Financing, Sales and Trading, and Research.
- Screen customers against the OFAC, SDN and other sanctions lists utilizing LSEG World-Check One, escalating positive screening outcomes to the AML Team
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This listing is sourced directly from Guggenheim Securities's careers page and normalized into a canonical job model.