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About the Role
Guggenheim Investments is seeking a Senior Associate to join its Policies, Procedures, and Controls team. This role is crucial for developing, managing, and enhancing the firm's governance framework for policies and procedures, supporting global investment management and operational activities. The position is based in our New York City office full-time.
Responsibilities
- Assist in developing, drafting, and updating policies, procedures, charters, process flows, checklists, and related documentation.
- Support the end-to-end lifecycle for assigned documentation, including understanding processes, drafting content, navigating approvals, and coordinating issuance.
- Proactively identify opportunities to enhance team efficiencies.
- Maintain centralized inventories and repositories for organized and retrievable documentation.
- Assist in defining and tracking milestones and deliverables for projects and initiatives.
- Address ad hoc projects related to policies, procedures, governance, and process documentation.
- Prepare and contribute to materials and reports for senior management and governance forums.
- Develop and maintain high-quality PowerPoint, Word, Excel, and Visio materials.
- Monitor Internal Audits, review findings, and assist with drafting remediation Action Plans.
- Develop, enhance, and maintain team administrative documents.
- Perform other assigned duties related to policies, procedures, controls, governance, and associated processes.
Requirements
- Minimum of three to five years of experience in a financial services organization or equivalent experience at a top consulting firm or top law firm.
- Bachelor’s degree required.
- Strong written and oral communication skills, including the ability to write clearly, concisely, and logically.
- Strong analytical, critical thinking, and problem-solving skills.
- Demonstrated ability to work effectively on multiple projects and initiatives simultaneously, under tight deadlines and in a high-pressure environment, while maintaining high quality and accuracy.
- High level of attention to detail and a strong focus on accuracy.
- An advanced degree (such as JD, MBA, or a relevant graduate degree) is desirable.
- Proactive, issue-spotting, innovative, and solutions-oriented mindset.
- Genuine intellectual curiosity for learning how products, processes, and systems work.
- Collaborative working style, and ability to build and maintain relationships with stakeholders.
- Take ownership of assignments and deliverables, and comfortable asking questions.
- Must be authorized to work in the US without current or future visa sponsorship or transfer.
Skills
- Policies
- Procedures
- Controls
- Governance
- Documentation
- PowerPoint
- Word
- Excel
- Visio
- Written communication
- Oral communication
- Analytical skills
- Critical thinking
- Problem-solving
- Attention to detail
- Project management
Location
- New York City
Work Type
- Full-time
- Onsite
Experience Level
- Senior Associate
- 3-5 years
Education Level
- Bachelor's degree
- Advanced degree (JD, MBA, or relevant graduate degree) desirable
Salary/Compensations
- $112,500.00-$125,000.00
Benefits
- Competitive compensation
- 401k with matching contribution
- Healthcare and wellbeing programs
- Paid leave
- Learning and development opportunities
- Family and caregiving support
- Employee assistance program
About the Company
- Guggenheim Investments (“GI” or “Firm”) is seeking a Senior Associate to join its Policies, Procedures, and Controls team.
- The team, which is part of the Office of the President, is the core driver of the Firm’s governance framework for policies, procedures and related documentation, with direct responsibility for developing, managing, and enhancing the policies and procedures that support GI’s global investment management and operational activities.