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About the Role

Guggenheim Securities is seeking an experienced Control Room professional to partner with business and corporate leaders of the Investment Bank, ensuring compliance with reputational, regulatory, and legal requirements. The role involves interacting with all organizational levels and thriving in a fast-paced environment.

Responsibilities

• Maintenance of the Firm’s watch and restricted lists.
• Conduct conflict searches for relevant activity across all business units and affiliated entities.
• Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
• Process and manage ‘wall-crossing’ requests.
• Assist in preparing responses to FINRA underwriter questionnaires.
• Information barrier monitoring and watch and restricted list trade surveillance.
• Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
• Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
• Rotational weekend coverage.

Requirements

• Track record of effective maintenance and monitoring of Firm information barriers.
• Excellent verbal and written communication skills and strong professional demeanor.
• Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
• Ability to understand and analyze compliance issues and recommend commercially effective solutions.
• Proficient in Microsoft Office, including the ability to work comfortably within Excel.
• Analytical skills required to keep up with the evolving regulatory and industry environment.
• Results-orientated focus toward action and a track record of achievement.
• Strong written, verbal, and presentation skills.
• Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.
• Bachelor’s degree and 7 to 10+ years of experience as a Compliance professional, within a large, full-service investment bank with a minimum of 5+ years of Investment Banking Compliance/ Control Room experience.
• Fluent in applicable FINRA and SEC rules and enforcement and industry best practices relevant to information barriers, material non-public information and Control Room activities.
• Deep understanding of public/private designations, MNPI determinations and considerations and the purpose and application of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.

Skills

• Microsoft Office
• Excel
• Analytical skills
• Written communication
• Verbal communication
• Presentation skills

Location

• San Francisco
• Los Angeles
• New York

Work Type

• Hybrid

Experience Level

• 7 to 10+ years
• 5+ years

Education Level

• Bachelor’s degree

Salary/Compensations

• $150,000 and $190,000

About the Company

• 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.