What are the responsibilities and job description for the Compliance Monitoring and Testing Analyst position at Guggenheim Securities?
Job Description : Position Summary
Guggenheim Securities ("GS") is seeking to hire a Monitoring and Testing Analyst to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable laws, regulations and internal policies and procedures.
Essential Job Functions
- Assist with the development, implementation, execution and reporting of the Firm's compliance monitoring and testing program to support risk mitigation efforts and adherence to regulatory requirements and internal policies and procedures
- Work with compliance partners to complete risk assessments, conduct targeted reviews of business activities and perform inspections of branch offices
- Assess the design of controls and test their effectiveness
- Prepare reports that identify issues and work with issue owners to identify solutions and ensure remediation
- Assist with surveillance enhancements and work on strategic surveillance projects; review, analyze and investigate issues within the surveillance platform
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 - $90,000
