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Form of workGuggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer (KYC), Sanctions and bribery/corruption reviews for GPIM. Responsibilities will include conducting beneficial owner and control person due diligence on participants in transactions as well as assisting with GPIM client and collective investment vehicle investor AML/KYC on-boarding.
The Compliance Officer is located in our New York office.
• Interacting with deal team to collect due diligence material.
• Reviewing deal structures to perform beneficial owner analysis.
• Conducting OFAC checks
• Working with Private Transactions Conflicts team to clear transactions in a timely manner.
• Performing AML/KYC on private fund investors
• Assisting in updating policies, procedures and controls.
• Assisting in analyzing and implementing new regulations
• Bachelor’s Degree, Law degree is a plus
• 1-3 years investment advisor compliance experience
• Knowledge of the Patriot Act, Bank Secrecy Act, Investment Advisors Act of 1940 and related rules are needed and knowledge of the Investment Company Act of 1940 is preferred
• Knowledge of international sanctions and bribery/corruption risk areas is preferred
• Knowledge of AML/KYC requirements and best practices related to corporate financing transactions
Strong communication skills, attention to detail, ability to multi-task and the ability to be effective in a fast paced environment are critical
• Ability to work with other offices and periodic travel, as needed
• Be proactive & solutions-oriented; innovative; responsive to client needs; collaborative and energized by the open exchange of ideas
• Adapt quickly and appropriately in accordance with the constant evolution of the company and industry
Annual base salary between $115,000 and $120,000.
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.
Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: #GuggenheimInvestments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.
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. Learn more at GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.
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