What are the responsibilities and job description for the Business Control Analyst position at 2410 Guggenheim Securities, LLC?
Job Description:
Position Summary
Guggenheim Securities is seeking a motivated, detail-oriented individual to join a fast-growing team as a Business Control Analyst. This position will play an important role in supporting the Firm’s culture of Risk Management and Compliance by conducting Electronic Communications reviews and performing other control related tasks in accordance with Firm and regulatory requirements. The Analyst will be required to develop and maintain a solid understanding of Firm policies and procedures to support the detection of potential violations and safeguard the Firm by exercising sound judgement and escalating issues appropriately. The Analyst will actively participate in the implementation of new processes, procedures, and enhancements to the existing control framework.
The ideal candidate will have some experience in the securities industry and familiarity with the basic operations, product types and processes of a broker dealer. The ability to work independently and partner effectively in a highly collaborative environment is essential.
Essential Job Functions
- Understand business, compliance, and information security policies and their day-to-day application at a broker dealer
- Help assure employees’ adherence to applicable laws, rules, and regulations via Firm and Regulatory policies and by applying sound ethical judgment regarding personal behavior.
- Conduct sound business practices by escalating, managing, and reporting issues with transparency
- Remain current with regulatory and internal policy changes
- Actively participate in group discussions and key initiatives to develop and enhance current and future processes
Preferred Qualifications
- Excellent customer service skills, attention to detail and exceptional written and verbal communication skills
- Ability to work collaboratively, across a geographically diverse team
- Strong analytical and problem-solving skills
Basic Qualifications
- 1-3 years’ experience in the financial industry is preferred but not required
- Bachelor’s Degree
- Securities Industry Essentials (SIE) and Series 79 preferred or commitment to obtain within 6 months of joining the Firm
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 $65,000 - $80,000.
- 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.
Salary : $65,000 - $80,000