What are the responsibilities and job description for the Business Control Analyst position at Guggenheim Securities?
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
Basic Qualifications
Work Location
Salary
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
