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Position Summary

Guggenheim Securities is seeking an intern to join their Compliance team during the summer. The Compliance department’s focus is to help ensure that the Firm conducts its business and operations with the highest legal and ethical standards in a manner consistent with its obligations and all applicable laws, rules, and regulations. This position will be supporting various areas of the Compliance department and will be in the New York office.

Essential Job Functions

This individual will assist the compliance team on a rotating basis and will have exposure to the following areas of the compliance program:

• Registration process for associated persons
• Monitoring of the Firm’s information barriers
• Assist the Control Room with various tasks related to conflict checks and control room logs
• Test business processes in the Equities, Fixed Income and Research departments as needed
• Track the progress of onboarding requirements for new hires and follow up as necessary
• Perform testing of internal Compliance procedures
• Assist with the processing of employee disclosures and related tasks as needed
• Ad hoc compliance projects

Preferred Qualifications

• Strong writing and research skills
• Ability to work with various teams in a professional environment
• Self-starter with excellent organizational and communication skills
• Strong attention to detail    
• MS Word, PowerPoint, Excel and Outlook proficient
• Able to organize and present data in spreadsheets and tables

Basic Qualifications

• Must be seeking a college degree in business

Salary

• $25 per hour, 40 hours a week

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.