Jobs
>
New York City

    Director of Compliance Operations - New York, United States - Guggenheim Partners

    Guggenheim Partners
    Guggenheim Partners New York, United States

    4 days ago

    Default job background
    Full time
    Description

    Position Summary

    Guggenheim Investments is looking for a Senior Compliance Manager & Senior Regulatory Counsel to join the Compliance team. This position will be Hybrid and based in our New York Office.

    Essential Job Functions

    Private Fund Compliance

    • Provide regulatory advice to the business including the latest rulemaking pertaining to private funds.

    • Provide regulatory advice on prospecting/marketing (including Canada, Australia and Asia), onboarding/investment management agreementss, amendments and other client service issues.

    • Provide regulatory advice on new fund formation, including commodity interest activity, conflicts of interest and co-investments

    • Review placement agent agreements and monitor promoters for marketing rule compliance

    • Assist in regulatory examinations and advise on ESG-related issues, regulatory rule proposals and other special/confidential projects.

    • Provide legal and compliance advice with respect to filings with the SEC, FINRA and NFA.

    • Advise on investor DDQs, RFPs and annual questionnaires.

    • Oversee various compliance policies and procedures and compliance review of offering documents.

    Supplementary review

    • Review certain materials requested by investors and clients before they're distributed outside the firm from a general advisers act compliance and risk mitigation perspective, including complex transaction materials, credit/valuation memos and other ad hoc requests.

    • Analyze such materials for private fund information parity and liquidity issues.

    • Interact with people from different business units across the firm.

    Control room

    • Monitor and manage GI's information barriers:

    • Work directly with GI business and GI compliance to maintain the GI restricted list and the GI watch list by providing guidance regarding material non-public information (MNPI) determinations and restriction status.

    • Review NDAs for contractual trading restrictions and standstill provisions.

    • Facilitate affiliate and external wall crossings by identifying relevant parties and their tradable instruments, evaluating whether the business can receive MNPI; consulting with portfolio managers; and escalating to senior GI compliance, GI risk and GI investment management where applicable.

    • Interact with GI traders and portfolio managers in connection with pre-trade exception approval for issuers on the GI restricted list consistent with applicable legal, regulatory, and policy considerations.

    • Perform post-trade surveillance of all trades against the GI restricted list and investigate any trades requiring follow-up.

    • Perform daily surveillance of GI access to third-party sites to determine whether GI is private in an issuer's data room.

    • Develop and lead trainings regarding the GI restricted list and related issues.

    Preferred Qualifications


    • Comprehensive knowledge of the Investment Advisers Act of 1940.

    • Experience with fixed income and alternative investments.

    • General understanding of NFA and CFTC issues.

    • Strict attention to detail combined with excellent prioritization and organization skills.

    • Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately.

    • Strong problem-solving skills and demonstrated ability to take initiative.

    • Willingness to roll up sleeves to perform all responsibilities needed to ensure success.

    Basic Qualifications


    • 10 + years' experience of institutional investment management – related experience at a law firm or regulator in-house.

    Salary Details

    Annual base salary between $190,000 and $215,000.

    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.

  • Guggenheim Partners

    Director of Compliance Operations

    1 week ago

    Guggenheim Partners New York, United States

    Director of Compliance Operations Job Locations US-NY-New York Posted Date 4 days ago(3/4/2024 1:12 PM) ID Job Category Legal & Compliance Jobs Position Type Full-Time Position Summary Guggenheim Investments is looking for a Senior Complian Operations, Director, Compliance, Portf ...

  • Envision Services USA LLC

    Compliance and Operations Manager

    3 days ago

    Envision Services USA LLC Floral Park, United States

    **About us** · Envision Services USA LLC is a small business in Floral Park, NY. We are professional, agile and professional. · Our work environment includes: · - Modern office setting · - Food provided · - Growth opportunities · - Modern office setting · - Growth opportunities · ...

  • Behavioral Health Services North

    Operational Compliance Auditor

    6 days ago

    Behavioral Health Services North New York, United States

    Job Description · Job Description · A Spanish version of this position is available upon request · La version de esta posicion esta disponible en · Español · si es requerida · BHSN, one of the fastest growing organizations providing whole person care in the region, is in sea ...

  • Guggenheim Partners

    Director of Compliance Operations

    4 days ago

    Guggenheim Partners New York, United States

    Position Summary · Guggenheim Investments is looking for a Senior Compliance Manager & Senior Regulatory Counsel to join the Compliance team. This position will be Hybrid and based in our New York Office. · Essential Job Functions · Private Fund Compliance · • Provide regulatory ...

  • Financial Industry Technical Services Inc.

    Operations Consultant- Aml/compliance

    1 week ago

    Financial Industry Technical Services Inc. Denville, United States

    **Responsibilities**: · - Develop and implement AML policies and procedures in accordance with regulatory requirements and industry standards. · - Conduct risk assessments and ongoing monitoring of client transactions to detect and prevent money laundering activities. · - Collabo ...

  • Bank of America Corporation

    Compliance and Operational Risk Manager

    4 days ago

    Bank of America Corporation Jersey City, United States

    Job Description: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. ...

  • Royal Bank of Canada

    Associate - Compliance - Operational Strategist

    1 week ago

    Royal Bank of Canada Jersey City, United States

    Job Summary · Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments. · Job Description · What is the Opportunity? · Reporting ...

  • UBS

    Compliance & Operational Risk Controller

    6 days ago

    UBS Weehawken, United States

    Job Reference #289320BRCityNew York, Raleigh, WeehawkenJob TypeFull Time Your roleDo you have a strong risk and analytical mind and extensive experience in non-financial risk management in a large-scale, complex organization either in the business or in a control function? Can yo ...

  • Bank of America Corporation

    Enterprise Privacy Compliance and Operational Risk Manager

    4 days ago

    Bank of America Corporation New York, United States

    Job Description: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. ...

  • The Bank of America Corporation

    Enterprise Privacy Compliance and Operational Risk Manager

    5 days ago

    The Bank of America Corporation New York, United States

    At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders Risk Manager, Compliance, Ente ...

  • New York University

    Associate Director, SHC Compliance and Administrative Operations

    1 week ago

    New York University New York, United States

    Associate Director, SHC Compliance and Administrative Operations · US-NY-New York · Job ID: · Type: Student Health Center · # of Openings: 1 · Category: Business/Professional Administrative · New York University · Overview · NYU's Global Programs & University Life organiz ...

  • Tik Tok

    Data Compliance and Access Operations Senior Analyst

    2 weeks ago

    Tik Tok New York, United States

    Responsibilities · TikTok is the leading destination for short-form mobile video. At TikTok, our mission is to inspire creativity and bring joy. TikTok's global headquarters are in Los Angeles and Singapore, and its offices include New York, London, Dublin, Paris, Berlin, Dubai, ...

  • Bank of America

    Volcker EAC Compliance and Operational Risk Manager

    1 week ago

    Bank of America New York, United States Full time

    Job Description: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. ...

  • Royal Bank of Canada

    Associate Director, Compliance – Operational Strategist

    5 days ago

    Royal Bank of Canada Jersey City, United States Full time

    Job Summary · Job Description · What is the Opportunity?Reporting to the Chief Operating Officer (COO), U.S. Investment Management and Broker-Dealer Compliance (IMBD). The candidate will be a strategic partner to the COO and work closely with the Chief Compliance Officer (CCO) to ...

  • NJ Transit

    Director, Compliance Operations

    1 week ago

    NJ Transit Newark, United States

    Director, Compliance Operations · Civil Rights & Diversity · Job Description: · Move forward with us At NJ TRANSIT, you'll join us in transforming the third-largest transportation agency in North America. We are committed to delivering safe, reliable service that gets customers ...

  • NJ Transit

    Manager, Compliance Operation

    1 week ago

    NJ Transit Newark, United States

    Manager, Compliance Operation · Civil Rights & Diversity · Job Description: · Move forward with us At NJ TRANSIT, you'll join us in transforming the third-largest transportation agency in North America. We are committed to delivering safe, reliable service that gets customers to ...

  • NJ TRANSIT

    Director, Compliance Operations

    1 week ago

    NJ TRANSIT Newark, United States

    Director, Compliance Operations · Civil Rights & Diversity · Move forward with us At NJ TRANSIT, you'll join us in transforming the third-largest transportation agency in North America. We are committed to delivering safe, reliable service that gets customers to their destinati ...

  • NJ TRANSIT

    Manager, Compliance Operation

    1 week ago

    NJ TRANSIT Newark, United States

    Manager, Compliance Operation · Civil Rights & Diversity · Move forward with us At NJ TRANSIT, you'll join us in transforming the third-largest transportation agency in North America. We are committed to delivering safe, reliable service that gets customers to their destination ...

  • Bank of America

    Eac Compliance

    1 week ago

    Bank of America New York, United States

    At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. · One of the keys t ...

  • Con Edison Company of New York

    Specialist

    1 week ago

    Con Edison Company of New York New York, United States

    **Mission Statement** · - Consolidated Edison Company of New York, Inc. (Con Edison), Orange & Rockland Utilities (O&R), and Consolidated Edison Transmission (CET) employees are required to follow health, safety, and environmental policies, EEO, Standards of Business Conduct, and ...