Jobs
>
New York City

    Compliance Officer - New York, United States - Guggenheim Partners

    Guggenheim Partners
    Guggenheim Partners New York, United States

    2 weeks ago

    Default job background
    Description
    Position Summary

    Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor.

    This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer (KYC), Sanctions and bribery/corruption reviews for GPIM.

    Responsibilities will include conducting beneficial owner and control person due diligence on participants in transactions as well as assisting with GPIM client and collective investment vehicle investor AML/KYC on-boarding.

    The Compliance Officer is located in our New York office.

    Essential Job Functions


    • Interacting with deal team to collect due diligence material.
    • Reviewing deal structures to perform beneficial owner analysis.
    • Conducting OFAC checks
    • Working with Private Transactions Conflicts team to clear transactions in a timely manner.
    • Performing AML/KYC on private fund investors
    • Assisting in updating policies, procedures and controls.
    • Assisting in analyzing and implementing new regulations
    Preferred Qualifications


    • Bachelor's Degree, Law degree is a plus
    • 1-3 years investment advisor compliance experience
    • Knowledge of the Patriot Act, Bank Secrecy Act, Investment Advisors Act of 1940 and related rules are needed and knowledge of the Investment Company Act of 1940 is preferred
    • Knowledge of international sanctions and bribery/corruption risk areas is preferred
    • Knowledge of AML/KYC requirements and best practices related to corporate financing transactions
    Basic Qualifications

    Strong communication skills, attention to detail, ability to multi-task and the ability to be effective in a fast paced environment are critical

    • Ability to work with other offices and periodic travel, as needed
    • Be proactive & solutions-oriented; innovative; responsive to client needs; collaborative and energized by the open exchange of ideas
    • Adapt quickly and appropriately in accordance with the constant evolution of the company and industry
    Salary Details

    Annual base salary between $115,000 and $120,000.

    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 Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: #GuggenheimInvestments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business.

    Guggenheim's professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

    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.

    Learn more at , and follow us on LinkedIn and Twitter @GuggenheimPtnrs.

    #LI-LL1
  • Piermont Bank

    Compliance Officer

    1 week ago

    Piermont Bank New York, United States

    **About Us**: · **The Role**: · The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and ...

  • NYC Careers

    Compliance Officer

    1 week ago

    NYC Careers Manhattan, United States

    **Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...

  • Kohlberg Kravis Roberts & Co.

    Compliance Officer

    2 weeks ago

    Kohlberg Kravis Roberts & Co. New York, United States

    **COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...

  • Catholic Charities Community Services

    Compliance Officer

    1 week ago

    Catholic Charities Community Services New York, United States

    **Description** · Summary: This position is responsible for the administration of Human Resources policies, procedures, and programs including Compliance, Training & Development, and Employee Relations. · Essential Functions and Responsibilities include the following. Other dutie ...

  • S&P Global

    Compliance Officer

    1 day ago

    S&P Global New York, United States

    **About the Role**: · **Grade Level (for internal use)**: 12 · **The Role**: Compliance Officer · **The Team**: Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice (and ...

  • Sumitomo Mitsui Banking Corporation

    Compliance Business Officer

    1 week ago

    Sumitomo Mitsui Banking Corporation New York, United States

    SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...

  • Raisin

    Compliance Officer, Us

    2 weeks ago

    Raisin New York, United States

    Your Responsibilities · As our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams. You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US exec ...

  • New York State Psychiatry Institute

    Research Compliance Officer

    1 week ago

    New York State Psychiatry Institute New York, United States

    **Job Title**: Research Compliance Officer · **Grade**: 37 · **Salary**: $167,905 - $190,003 · The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute. · The R ...

  • Sonata Healthcare

    Insurance Compliance Officer

    2 weeks ago

    Sonata Healthcare New City, United States

    **Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team · We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow w ...

  • NYC Careers

    Investigations and Compliance Officer

    1 week ago

    NYC Careers New York, United States

    **Investigations and Compliance Officer**: · - Apply**Investigations and Compliance Officer**: · - Agency: DEPT OF CITYWIDE ADMIN SVCS · - Posted on: 05/16/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Citywide Equi ...

  • Columbia University

    Compliance Officer

    1 week ago

    Columbia University Manhattanville, United States

    Job Type: Officer of Administration · - Regular/Temporary: Temporary · - End Date if Temporary: 12/31/2024 · - Hours Per Week: 35 · - Salary Range: $112,000 - $137,100 · - The salary of the finalist selected for this role will be set based on a variety of factors, including but n ...

  • Jefferies & Company, Inc.

    Vp, Compliance Officer

    4 days ago

    Jefferies & Company, Inc. New York, United States

    Compliance Officer - Operations & Regulatory Reporting Oversight · **Description**: · - Provide compliance advice, oversight on operational rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. T+1, Turnaround Rule, Margin, Settlements, Int ...

  • Amalgamated Bank of NY

    Trust Compliance and Risk Officer

    3 weeks ago

    Amalgamated Bank of NY New York, United States

    Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...

  • Société Générale

    Regulatory Change Compliance Officer

    1 week ago

    Société Générale New York, United States

    **Responsibilities**: · Responsibilities include, but are not limited to: · - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG's U.S. business operations · - Communicating regulatory ...

  • EF Hutton

    Aml-kyc Compliance Officer

    1 week ago

    EF Hutton New York, United States

    **The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...

  • Sumitomo Mitsui Banking Corporation

    Employee Compliance Officer

    3 weeks ago

    Sumitomo Mitsui Banking Corporation Jersey City, United States

    SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    2 weeks ago

    Anchor Health Home Care Brooklyn, United States

    As a **Compliance Officer **you will be responsible to implement compliance policies and procedures throughout our nursing and HR departments to ensure that all processes are in compliance with the DOH regulations. · **Compliance Officer Responsibilities and Requirements**: · - I ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    2 weeks ago

    Anchor Health Home Care Brooklyn, United States

    _At Anchor Health Home Care, we deeply appreciate the privilege of being welcomed into the family circle to provide care for our neighbors' beloved family members._ Our dedicated corporate office team at Anchor Health Home Care serves as the central hub for communication among cl ...

  • Barclays

    Fincrime Compliance Officer Legal Rules

    2 weeks ago

    Barclays New York, United States

    **FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...

  • MUFG Bank, Ltd.

    Corporate Banking Compliance Officer, Avp

    1 week ago

    MUFG Bank, Ltd. New York, United States

    **Do you want your voice heard and your actions to count?** · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organizati ...