Job Description: Position Summary Guggenheim Securities “GS” is seeking a diligent, thorough and energetic individual with excellent attention to detail to join its Compliance Registration Team. This person will work closely with Compliance Officers, Human Resources, and Broker-Dealer personnel to assist with the preparation, coordination, and transmission of regulatory broker-dealer and registered representatives’ filings. The position is located in Guggenheim’s New York office. Prior compliance experience is strongly preferred. Essential Job Functions Coordinate with the Compliance Departments of the Firm’s Broker-Dealers and the Human Resources Department for the firm’s regulatory pre-hire/on-boarding process Assist with registration and regulatory requirements for the Firm’s Broker-Dealer associated persons including: Forms U4 and U5, regulatory examinations, continuing education and fingerprinting Maintain required document retention records Assist with various projects Preferred Qualifications BA or BS required Strong written and oral communication skills Must be able to work with various teams in a professional environment Strong attention to detail Strong organization skills Proficient in Microsoft Outlook, Word and Excel Knowledge or experience with FINRA Registration is a plus Basic Qualifications 6 – 8 years of experience in the financial services industry Work Location Currently, this role is expected to be in the New York office at least 4 days per week. Salary Annual base salary between $110,000 – $135,000 The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation. About Us: 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 is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200. Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. We offer services in Advisory, Financing, Sales and Trading, and Research. Discover what it is like to work with us through the stories of our colleagues. We are headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, Houston, and in London, UK. For more information, please email GSLateralRecruiting@guggenheimpartners.com or call 1 212.518.9200