VP/ Broker-Dealer (closed)
Roles and Responsibilities:
- Review product and marketing advertising materials to ensure compliance with regulatory requirements.
- Train compliance and marketing staff on regulatory advertising requirements applicable to mutual funds and investment advisory materials.
- Monitor and manage staff responsible for maintaining compliance with books and records requirements for above referenced activities.
- Interact with legal, marketing and product development on new fund registration and advertising issues.
- Oversee drafting of departmental policies and procedures and broker-dealer written supervisory procedures.
- Oversee administration of various distributor programs (firm element, annual compliance meeting, non-cash compensation, etc.).
- Oversee licensing maintenance program for broker-dealer registered representatives.
- Assist with monitoring new laws and regulations and updating company procedures as required.
- Assist in responding to regulatory agency requests and/or examinations.
- Participate in other projects as required.
- College degree.
- 7-9 years broker-dealer compliance experience.
- Series 7/24 required.
- Experience managing staff and demonstrating strong leadership skills
- Knowledge of FINRA rules and regulations, the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Investment Advisers Act of 1940.
- In-depth knowledge of SEC/FINRA advertising and sales literature regulations.
- Strong communication skills, attention to detail, ability to multi-task, and the ability
to be effective in a fast paced environment are critical.
- Strong attention to detail, ability to handle multiple tasks at once, and the ability to be effective in a fast paced environment are critical.
- Strong commitment to performance.
- Team oriented individual with ability to work well with diverse groups.
- Must successfully pass a background.
- Experience integrating broker dealers is a plus
Guggenheim Investments represents the investment management division of Guggenheim Partners, LLC, which consist of investment managers with approximately $127 billion in combined total assets *. Collectively, we have had a long, distinguished history of serving institutional investors, ultra-high-net-worth individuals, family offices and financial advisors. We offer clients a wide range of differentiated capabilities built on a commitment to investment excellence.
Our business is firmly rooted in the discipline of the institutional money management: our DNA is etched with the rigor of managing risk. Each of our investment teams brings a unique expertise and point of view about what drives asset and market behavior, and what drives risk and reward.
Over the years, our clients have valued us for our tradition of independence, thought leadership, purposeful innovation and a nimbleness we believe not readily found in other asset managers. As a privately owned investment management firm, our clients also know that we are less beholden to Wall Street, and unswayed by its short-term demands and fickleness. We are answerable only to our clients and our commitment to their success.
Equal Opportunity Employer.
TO BE CONSIDERED FOR THIS ROLE, PLEASE APPLY ON-LINE: