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Impactful Compliance Monitoring & Testing Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-07-30
Listing for:
Guggenheim Partners
Full Time
position Listed on 2026-07-30
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Guggenheim Partners is hiring a Monitoring and Testing Associate to join its Compliance team in New York. This role involves assessing business activities for compliance with laws and internal policies and executing compliance monitoring and testing programs.
The ideal candidate will have a Bachelor’s degree and 3–5 years of experience in financial services or regulatory environments. Familiarity with regulatory requirements for broker-dealers is essential, along with strong communication and analytical skills. The position offers a base salary range of $110,000 to $120,000.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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