Assistant Controller - Guggenheim Treasury Services

Guggenheim Partners; New York (NY); On-site; USD 120,000 - 160,000; Full time

Job summary

Guggenheim Treasury Services, part of Guggenheim Partners, seeks an Assistant Controller in New York City to own daily accounting, month-end close, and regulatory reporting for an SEC-registered SBSD. You will work directly with the CFO and Controller in a lean finance team, with on-site presence 4 days a week.

The role requires 7+ years in accounting within regulated financial services, a bachelor’s degree in a related field, and strong Excel/ERP system proficiency.

Qualifications

• Minimum of 7 years of progressive accounting experience
• Bachelor’s degree in accounting, finance, business administration, or related field
• Substantive experience in regulated financial services environment required;SBSD/CFTC/FINRA background preferred

Responsibilities

• Oversee month-end and year-end close, including journals and reconciliations
• Prepare financial statements (unaudited monthly/quarterly; year-end audited)
• Support FOCUS reporting and net capital computations under SEC 18a-1
• Assist external audit, regulatory exams, and internal compliance requests
• Maintain internal controls, accounting policies, and desk-level documentation
• Collaborate with Controller and CFO on process improvements and system upgrades
• Back up for Controller during absences and train staff

Skills

CPA or CPA progress

Attention to detail

Organization & communication

Independent work

Education

Bachelor's degree in accounting/finance/business

Tools

Excel

Workday

ERP systems

Job description

Position Summary

Guggenheim Treasury Services is seeking an Assistant Controller to join its team! Reporting directly to the Chief Financial Officer, the Assistant Controller will be a hands-on member of the finance team supporting an SEC-registered security-based swap dealer (SBSD). This individual will own day-to-day accounting functions, month-end close, and regulatory financial reporting, working closely with the Controller and CFO across a lean, fast-moving finance function. This position is required to report on site 4 days a week and is based in our New York City offices.

Essential Job Functions

• Oversee and participate in month-end and year-end close processes, including journal entries, account reconciliations, financial statement preparation in accordance with U.S. GAAP, and assisting the Controller, as needed
• Prepare financial statements, including unaudited monthly/quarterly statements and year-end audited financials
• Support FOCUS reporting and net capital computations under SEC Rule 18a-1, and serve as backup preparer for both Review and approve vendor and operational invoices Conduct monthly variance analysis on financial results, identifying and explaining significant fluctuations
• Support external audit, regulatory exam, and internal compliance requests Help maintain and test internal controls and audit-readiness documentation Help maintain and update accounting policies, procedures, and desk-level documentation Assist with financial systems and process improvement initiatives Crosstrain across all accounting functions, and serve as primary backup for the Controller during absences Other special projects, as assigned

Preferred Qualifications

• CPA or progress toward CPA a plus
• Product knowledge in derivatives and structured products (TRS, repo, securities lending) preferred, but not required
• Familiarity with SEC SBSD regulatory capital rules (18a-1, 18a-6, 18a-7) or transferable regulatory capital experience (FINRA, CFTC) a plus
• Familiarity with researching and applying U.S. GAAP to transactions and financial reporting
• Excellent attention to detail, organizational, and communication skills; ability to work independently and manage competing priorities
• Experience working with ERP systems, Workday preferred
• Proficient in Microsoft Office Suite with advanced Microsoft Excel skills (Pivot tables, V-lookups, and complex formulas)

Basic Qualifications

Minimum of 7 years of progressive accounting experience, including financial statement preparation and month-end close and; Completion of a bachelor’s degree in accounting, finance, business administration, or a related field Substantive experience in a regulated financial services environment required; backgrounds in SBSDs, CFTC-registered swap dealers/FCMs, FINRA broker-dealers, or prime broker-dealers, or securities financing strongly preferred

Salary

Annual base salary between $120,000 and $160,000. 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 Guggenheim Treasury Services

Guggenheim Treasury Services (GTS) is a dynamic, fast-paced structured funding business within Guggenheim Partners. We engage in a wide variety of structured funding transactions, including repo, securities lending, total return swaps and other custom arrangements, across equities and fixed income. Our platform operates across a multi-entity structure — including trading, hedging, and funding entities — designed to optimize regulatory capital and provide bespoke funding solutions to clients. A portion of our business is conducted through an SEC-registered security-based swap dealer (SBSD), with additional activity conducted through unregulated entities. 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."

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through Guggenheim Investments and Guggenheim Securities, as well as Investment Consulting, Institutional Finance, and Retail Real Estate Partners. We are headquartered in Chicago and New York with additional offices in St. Louis and Frisco (Dallas). For more information, please email [e-mail]