Guggenheim Securities
Equities Operations Analyst
New York · Mid
Sponsorship not specifiedDetected 27 days ago
AccountingExcelCommunicationProblem Solving
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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
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About the role
- Monitor and resolve trade settlement issues and fails, coordinating with counterparties, clearing brokers, and custodians; assist with buy-ins and partial settlements as needed.
- Assist with corporate actions and income events by validating positions, coordinating with custodians, and ensuring accurate and timely reflection in internal systems.
- Contribute to recurring and ad-hoc reporting for internal stakeholders, auditors, and regulators, ensuring accuracy, completeness, and timely delivery.
Responsibilities
- The successful candidate will provide day-to-day operations support and assist in implementing tactical process and system enhancements.
- This role offers the opportunity to support a diverse and growing equities business, strengthen the firm's control environment, and contribute directly to efficient trade execution and high-quality client service.
- Support soft dollar and commission-sharing arrangements by ensuring accurate trade booking, allocation, and reconciliation in line with agreements and policies.
- Help identify and implement process and workflow improvements, including basic automation and standardization, to enhance efficiency and reduce operational risk.
- Maintain strong controls and ensure adherence to departmental and firmwide policies, procedures, and regulatory requirements.
- Support other operations functions and project-related initiatives as directed by management.
- Perform daily position and cash reconciliations, identifying and resolving breaks through journal entries, workflow adjustments, and exception management.
Requirements
- Guggenheim is seeking a junior to mid-level Equities Operations Analyst (2-3 years of experience) to join its Equities Operations team.
- Skills & Experience Required
- Bachelor's degree required, preferably in Finance, Business, Accounting, Economics, Technology, or a related field.
- 2-3 years of experience in equities operations, middle office, or a closely related function at a broker-dealer, bank, asset manager, or prime broker.
- Strong proficiency in Microsoft Excel
- familiarity with Access, VBA, or other analytical/automation tools is beneficial.
- Series 99 Operations Professional license will ultimately be required
- candidates who do not currently hold the license must be willing and able to obtain it within the timeframe specified by the firm.
Nice to have
- Exposure to high-touch and electronic cash equities flows
- familiarity with international markets and time zones is a plus.
- Experience with industry platforms and vendors
- familiarity with Fidessa and TraFix order management systems and Pershing's NetX 360 clearing platform is a strong plus.
Skills
- Detail-oriented with strong analytical and problem-solving skills and a control-focused mindset.
Compensation
- Annual base salary is 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.
Benefits
- Report to the Director of Equities Operations and partner closely with Equities Sales & Trading, Electronic Trading, Equity Derivatives, Back Office, Technology, Compliance, and Finance.
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.
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This listing is sourced directly from Guggenheim Securities's careers page and normalized into a canonical job model.