Senior Compliance Officer, Product & Structured Transactions (MD)

Position Summary

Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to these areas, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the CCO and the leadership team in the ongoing development and implementation of the firm’s compliance programs. Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures. This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, and are interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements. This role reports to the Chief Compliance Officer and is based in our New York City office, full-time.

Responsibilities

Product & Transaction Compliance

• Develop and maintain deep expertise in product structures, including SPVs, CLOs, and other structured vehicles
• Partner with product and transaction teams to identify and communicate compliance implications affecting transactions, KYC requirements, and regulatory obligations
• Serve as subject matter expert on compliance considerations for complex investment products

RIA Compliance Program Support

• Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:
  • Compliance manual development and updates
  • Form ADV review and amendments
  • Risk assessment execution
  • Annual review coordination
  • Regulatory examination preparation and readiness

Regulatory Monitoring & Implementation

• Monitor and analyze applicable regulatory developments, rulemaking, and enforcement trends
• Translate regulatory developments into actionable firm policies, procedures, and business requirements
• Communicate regulatory updates and their implications to relevant stakeholders

Additional Compliance Functions

• Assist with Real Estate business compliance program administration
• Support compliance with SEC Custody Rule requirements
• Review and approve client communications for regulatory compliance

Qualifications

Basic Qualifications

• 10+ years of financial services experience
• 2–5+ years as a corporate transaction attorney or in a related legal/compliance role
• Juris Doctor
• Direct experience with insurance company transactions preferred
• Deep understanding of CLOs, structured credit, and fixed income products
• Strong knowledge of RIA regulatory requirements (Investment Advisers Act of 1940)
• Demonstrated ability to develop and implement process improvements
• Excellent communication skills with ability to translate complex product details into compliance guidance

Preferred Qualifications

• Law Firm and In-house experience is highly desired
• Broad knowledge of federal securities laws
• Certification in a related field of practice is a plus
• Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
• Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
• Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
• Deep understanding of the global regulatory landscape and emerging regulatory trends
• Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress

We are not seeking agency assistance with this position.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States.  Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

Salary Range

Annual base salary between

$225,000.00-$250,000.00

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.