Job Description: Associate/Vice President - Compliance Officer Guggenheim Securities Position Summary Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. The position will report to the Head of Compliance for Guggenheim Securities based in New York and will be an important part of a collegial compliance team supporting a fast-growing and dynamic business with an international footprint. The ideal candidate will be a critical thinker and collaborative problem solver with a comprehensive regulatory background. Essential Job Functions · Establishment and day-to-day management of the compliance program · Draft Annual Compliance Report · File Form ADV · Principal compliance advisor to the warehouse lending business Preferred Qualifications · At least 4 years of relevant experience at a regulator or in-house, with institutional asset management...