Guggenheim Securities

Investment Banking, Business Control Associate

New York

Sponsorship not specified$90k-$110kDetected 26 days ago

Project ManagementLeadershipProblem SolvingInternal Audit

About the role

Guggenheim Securities seeks an enthusiastic and detail-oriented individual to join our dynamic Business Control team as an Associate.
This first-line-of defense role plays a critical part in maintaining the integrity of the Firm's control environment by supporting risk management, compliance and operational governance across Investment Banking.

This role requires developing a comprehensive understanding of internal policies and procedures to support the detection and escalation of potential policy or regulatory violations, contribute to root cause analysis, and drive remediation.
Develop and maintain risk and control documentation, management reporting, and dashboards to provide transparency on operational risks and key metrics
Help support employees' adherence to applicable laws, rules, and regulations through the application of Firm and regulatory policies and sound ethical judgment
Partner cross-functionally with Compliance, Operations, Technology and senior leadership to develop process efficiencies, supporting infrastructure and identifying opportunities to strengthen the control environment

3-5 years' experience in the financial industry
Bachelor's Degree
Ability to work collaboratively across a geographically diverse team, managing multiple priorities and delivering results under tight timelines
The ideal candidate combines financial services experience with strong analytical skills and a proactive mindset.
Familiarity with broker-dealer operations, investment banking products, and the end-to-end transaction lifecycle is expected.
Effectively support regulatory exams, internal audits and compliance testing by remaining current with regulatory developments, internal policies and required changes and evolving industry best practices

Securities Industry Essentials (SIE), Series 79 and Series 24 preferred or commitment to obtain within 6 months of joining the Firm

Annual base salary between $90,000 - $110,000, commensurate with experience
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

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 listing is sourced directly from Guggenheim Securities's careers page and normalized into a canonical job model.