Senior Compliance Officer, Product & Structured Transactions; MD

Position: Senior Compliance Officer, Product & Structured Transactions (MD)
Location: New York

Senior Compliance Officer, Product & Structured Transactions (MD) page is loaded## Senior Compliance Officer, Product & Structured Transactions (MD) locations:
New York, NYtime type:
Full time posted on:
Posted Todayjob requisition :
JR- #
** Position Summary
** Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to these areas, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the CCO and the leadership team in the ongoing development and implementation of the firm’s compliance programs.

Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures. This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, and are interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements.

This role reports to the Chief Compliance Officer and is based in our New York City office, full-time.#
** Responsibilities
* *** Product & Transaction Compliance
*** Develop and maintain deep expertise in product structures, including SPVs, CLOs, and other structured vehicles
* Partner with product and transaction teams to identify and communicate compliance implications affecting transactions, KYC requirements, and regulatory obligations
* Serve as subject matter expert on compliance considerations for complex investment products
** RIA Compliance Program Support
*** Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:  + Compliance manual development and updates  + Form ADV review and amendments  + Risk assessment execution  + Annual review coordination  + Regulatory examination preparation and readiness
** Regulatory Monitoring & Implementation
*** Monitor and analyze applicable regulatory developments, rule making, and enforcement trends
* Translate regulatory developments into actionable firm policies, procedures, and business requirements
* Communicate regulatory updates and their implications to relevant stakeholders
** Additional Compliance Functions
*** Assist with Real Estate business compliance program administration
* Support compliance with SEC Custody Rule requirements
* Review and approve client communications for regulatory compliance#
** Qualifications
* *** Basic Qualifications
*** 10+ years of financial services experience
* 2–5+ years as a corporate transaction attorney or in a related legal/compliance role
* Direct experience with insurance company transactions preferred
* Deep understanding of CLOs, structured credit, and fixed income products
* Strong knowledge of RIA regulatory requirements (Investment Advisers Act of 1940)
* Demonstrated ability to develop and implement process improvements
* Excellent communication skills with ability to translate complex product details into compliance guidance
** Preferred Qualifications
*** Juris Doctor
* Broad knowledge of federal securities laws
* Certification in a related field of practice is a plus
* Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
* Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
* Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
* Deep understanding of the global regulatory landscape and emerging regulatory trends
* Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress

We are not seeking agency assistance…