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Compliance Control Room Director

$175,000- $200,000/ year
Posted Apr 25
Full Time
On Site
New York, New York

Guggenheim Securities is seeking an experienced Control Room professional to lead its Compliance Control Room team. Reporting to the Guggenheim Securities Chief Compliance Officer, this person will be responsible for partnering with Firm business and corporate leaders, as well as colleagues in the Legal and Compliance Departments, to ensure compliance with relevant reputational, regulatory, and legal requirements applicable to the Control Room, information barriers and material non-public information. The successful candidate will interact with all levels of the organization, including executive management, and have the ability to thrive in a fast-paced environment.

 

Essential Job Functions

  • Supervise Control Room staff.
  • Document Control Room processes.
  • Maintain relevant policies and conduct training.
  • Capture, assesses and monitor material non-public information.
  • Review and monitor the Firm’s Investment Banking transactions and projects database, in coordination with project deal teams.
  • Maintain the Firm’s watch and restricted lists.
  • Conduct conflict reviews for transactional activity across all business units and advise business units on conflicts identification, review and escalation.
  • Monitor, analyze and apply appropriate restrictions on Sales, Trading and Research activities.
  • Provide advice on and monitor interactions and communications between Research and Investment Banking. 
  • Review research reports, public appearances and non-deal roadshow requests and advise the Research Department on required restrictions on its activities.
  • Process and manage ‘wall-crossing’ requests.
  • Assist in preparing responses to FINRA underwriter questionnaires.
  • Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.

 

Preferred Qualifications

  • Knowledge of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.
  • Track record of effective maintenance and monitoring of  information barriers.
  • Knowledge of applicable FINRA rules, SEC rules and relevant industry best practices.
  • Excellent verbal and written communication skills and strong professional demeanor.
  • Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.
  • Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
  • Ability to understand and analyze compliance issues and recommend commercially effective solutions.
  • Willing to work flexible hours and respond to periodic requests on weekends.
  • Proficient in Microsoft Office, including the ability to work comfortably within Excel.

 

Basic Qualifications

  • Bachelor’s degree and 7+ years of experience as a Control Room / Investment Banking Compliance professional with a full-service investment bank.
  • Knowledge of applicable FINRA rules, SEC rules and relevant industry best practices.

 

Salary

  • Annual base salary between $175,000 – 200,000.
  • 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.

 

About Us:

 

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.

 

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.

 

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.