Experienced Associate/Vice President - New York

Only for registered members New York, United States

1 month ago

Default job background
$110,000 - $135,000 (USD)

Job summary

Guggenheim Securities is seeking a diligent individual with excellent attention to detail to join its Compliance Registration Team.
Coordinate with the Compliance Departments of the Firm's Broker-Dealers and the Human Resources Department for the firm's regulatory pre-hire/on-boarding process and off-boarding
Assist with registration and regulatory requirements for the Firm's Broker-Dealer associated persons including Forms U4 and U5,
regulatory examinations,
continuing education,
fingerprinting.


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