Broker Dealer Regulatory Reporting - Vice President

Position Summary Guggenheim Securities ("GS") is hiring a Vice President Broker Dealer Regulatory Reporting to join our Regulatory and Finance teams.

The primary purpose of this position is to contribute to the critical function of computing Net Capital in accordance with SEC Rule 15c3-1 and preparing various regulatory filings.

This process is required by the Securities and Exchange Commission along with the designated examining authority, FINRA.

This role will report directly to the FINOP.

This position will have exposure to a broad range of the entity's products and business activities.

It will have key interfaces with various audiences amongst infrastructure areas such as Operations, Finance, Risk, Treasury, Compliance and Legal.

Essential Job Functions * Prepare daily 15c3-1 net capital computation for Guggenheim Securities * Weekly and monthly preparation of the 15c3-3 Customer Reserve calculation * Assist with the preparation of the monthly FOCUS report including the preparation of supporting schedules for non-allowable assets, capital deductions, and haircuts * Review applicable regulatory rules and related interpretations to assess how the firm should apply in order to maintain compliance * Assist with the preparation of other regulatory reports such as SIPC, SSOI, Form Custody, SLS, OBS and 17H * Lead projects to enhance controls and automate manual processes around critical areas involving regulatory compliance * Assist with the annual year end audit and FINRA/SEC audits as announced * Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions Preferred Qualifications * Understanding of the Operational records and settlement mechanics of a broker dealer * The ability to independently and collaboratively execute tasks and escalate issues where needed * Attention to detail and ability to present to key stakeholders including the CFO, senior management and regulators * Detail oriented and analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance * Ability to build relationships across teams - Operations, Product Control, Regulatory Reporting, Compliance, etc Basic Qualifications * Requires a minimum of a Bachelor's degree * 7-9 years of professional experience in Broker Dealer Regulatory Reporting * Expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing the 15c3-1 Work Location * Currently, this role is expected to be in the New York office at least 4 days per week.

Salary * Annual base salary between $160,000 and $175,000.

* 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 GuggenheimSecurities.com, follow us on LinkedIn or contact us at or .