Business Controls Group ("BCG") - Analyst

Job Description:Position SummaryThis position is for a BCG Analyst for Guggenheim Securities, LLC ("Guggenheim"). BCG is responsible for the delegate supervisory oversight of Guggenheim's Sales & Trading and Equity Research operation, by designing, implementing, and reviewing a suite of surveillances to identify violations of regulatory rules or internal policies and procedures. BCG resides within the Business Unit and partners with Supervisors to act as the first line of defense. When potentially anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively with partners across Guggenheim to determine the appropriate resolution for the matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading and operational risk.Essential Job FunctionsAnalyze trading activityPerform, develop, and maintain surveillance reviewsIdentify potential risks for the Firm and escalate the matter to a designated managerGenerate ad-hoc reports, perform data analysis, and provide direction to Business Unit personnel, where appropriateSupport aspects of planning and executing projects to assist the Firm in complying with regulatory requirementsAppropriately assess and escalate risk when business decisions are made, demonstrating particular consideration to safeguarding Guggenheim's clients, reputation, and regulatory footprintParticipate in ad-hoc requests, special projects and regulatory exams directed by management, compliance or legal departmentsPreferred QualificationsKnowledge of broker-dealer related SEC and FINRA rulesA strong understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projectsTrading floor experience (trade support, controlscompliance)Ability to review and analyze supervisory trade surveillance reportsUnderstanding of trading systems, FINRA CAT, FINRA GatewayExcellent research and analytical skillsExcellent written and verbal communication skillsSelf-starter, flexible, innovative and adaptiveDemonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organizationAbility to navigate a complex organization by working collaboratively with regional and global partners in other functional unitsWillingness to work in a fast paced environment with a positive attitudeProficiency in MS Office applications (Excel, Word, PowerPoint)Basic QualificationsBachelor's degree; experience in a financial services firm, regulatory organization, or a combination thereofSeries 7, 55, 63, 24, 4Work Location Currently, this role is expected to be in the New York office at least 4 days per week. Salary Annual base salary between $70,000 and $85,000.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 , follow us on LinkedIn or contact us at or 212.518.9200.

Created: 2025-03-12