Vice President, Enterprise Compliance

Enterprise Compliance VP – Guggenheim Securities

Guggenheim Securities (“GS”) is seeking a seasoned Enterprise Compliance VP to join its Enterprise Compliance team. The primary objective of this role is to help shape, execute and continually improve the Firm’s enterprise compliance program.

• Support the execution of the Compliance Monitoring and Testing Program to mitigate risks and ensure adherence to regulatory requirements and internal policies and procedures.
• Partner with compliance stakeholders to complete risk assessments and conduct targeted deep-dive reviews of business activities.
• Execute the branch inspection program end to end.
• Prepare reports identifying issues, partner with issue owners to develop solutions, and drive remediation to closure.
• Contribute to surveillance enhancements and strategic surveillance initiatives, including the review, analysis and investigation of alerts and issues within the surveillance program.
• Help train junior staff members.
• Support the management of regulatory inquiries and investigations.
• Assist with metrics tracking and reporting across compliance functions.
• Help enhance and execute the regulatory change management program.
• Contribute to the development and maintenance of policies and procedures.
• Draft and assist in the preparation of the FINRA Rule 3120 Annual Compliance Report and the SEC Rule 15c3-5 Market Access Report.
• Lead and support ad-hoc Compliance projects.
• Help build, refine and track compliance KPIs and KRIs to measure program effectiveness.

• Knowledge of laws, rules, regulatory requirements and risks impacting broker‑dealers, particularly those applicable to investment banking, equity and fixed income sales and trading, and research.
• Proven track record conducting branch inspections and leading thematic compliance reviews.
• Experience with developing and maintaining risk assessments and surveillance systems.
• Experience with surveillance tasks, including email and transaction review.
• Demonstrated authorship of WSPs, compliance policies.
• Data organization and analysis proficiency, including the ability to develop relevant metrics based on data sets.
• Excellent verbal and written communication skills.
• Highly organized, strong attention to detail.
• Demonstrated ability to manage multiple priorities, meet deadlines and operate independently in a fast‑paced environment.
• Be a critical thinker, proactive, and creative.
• Have a positive, hands‑on, “can‑do” attitude.

• Bachelor’s or university degree.
• 7+ years relevant experience with a regulator, broker‑dealer or other financial services institution.
• PowerPoint/Excel skills.

Work Location:

New York office, at least 4 days per week.

Annual base salary is between $150,000 and $170,000. The base salary represents the anticipated range; actual amounts may vary by location and experience. Total compensation may include additional incentive components.