Investment Banking Business Control - Analust

Guggenheim Partners


Date: Sep 23, 2022
City: New York, NY
Contract type: Full time
Guggenheim Partners
Position Summary

The Investment Banking Business Control Analyst is a strategic professional responsible for supporting the Firm’s culture of Risk Management and Compliance. The individual is an integral part of the IB Business Control team which reports directly to Investment Banking Business Management.

The IB Business Control team is responsible for in-business operational risk and control management with the goal of helping Management to establish a robust control environment and culture of compliance. Key functions of the team include the development, enhancement and monitoring of business controls, while maintaining an awareness and responsiveness to needs dictated by regulatory, compliance and business change. The team uses a proactive approach to assist Management in achieving its strategic objectives, promote efficiency, reduce the risk of loss and help ensure compliance with the Firm’s policies and procedures and applicable laws and regulations. In addition, properly functioning internal controls enable Management to deal with today’s rapidly changing environment and position the Firm well for future growth.

As a member of the team, the Business Control Analyst will be expected to analyze existing business processes and implement systems to streamline those processes, enhance the overall efficiency of business operations and generally help strengthen the control environment. The individual should understand the basic operations of a broker dealer and related industry standards and practices.

Essential Job Functions
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the reputation and safeguarding of the Firm, its clients and assets
  • Comply with applicable laws, rules and regulations by adhering to Policy and applying sound ethical judgment regarding personal behavior, conduct and business practices and by escalating, managing and reporting issues with transparency
  • Liaise with stakeholders, such as Compliance and Internal Audit, to address any deficiencies or control gaps and drive timely completion of remedial actions where deficiencies are identified
  • Examine procedures for consistency and gaps, relative to regulations and internal policies to ensure adequacy of business and operational controls
  • Conduct control monitoring to assess efficiency of controls used to mitigate operational risk and evaluate existing regulatory and policy related control processes on a regular basis
  • Actively engage and influence stakeholders at various levels across the business and organization to foster collaboration and build a stronger control environment
  • Monitor employee activities, such as electronic communications and training, for compliance. Diagnose issues, develop solutions, and escalate as necessary
Preferred Qualifications
  • Excellent customer service skills, strong interpersonal skills and the ability to effectively communicate complex ideas at all levels across the organization
  • Analytic and problem-solving skills, able to see the big picture while paying high attention to critical details
  • Project management expertise, including excellent organizational skills and the ability to quickly adapt to change and shifting priorities and implement effective action plans
  • Series 79 preferred or to be obtained within 90 days of joining
Basic Qualifications
  • 1-3 years relevant experience in Investment Banking or related risk, compliance, audit, or regulatory functions
  • Bachelor’s Degree
About Us

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, 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 GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.

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