Business Controls Group ("BCG") — Analyst

Guggenheim Partners; New York (NY); On-site; USD 80,000 - 90,000; Full time

Job summary

Guggenheim Partners is seeking a Business Controls Analyst for its New York office to assist in surveillance and monitoring of trading activity and compliance. The position requires a Bachelor's degree and familiarity with financial services.

Responsibilities include conducting surveillance reviews, preparing reports, and managing risk considerations. Ideal candidates will have a strong attention to detail and good communication skills, as well as a willingness to obtain FINRA registrations.

Qualifications

• 1–3 years of experience; internship or coursework exposure to financial services, compliance, controls, audit, or capital markets is a plus.
• Willingness and ability to obtain FINRA registrations 7, 57, 63, and 24.

Responsibilities

• Assist in executing daily and periodic surveillance reviews.
• Help gather information and support data for investigations.
• Prepare ad-hoc reports and assist with quantitative data analysis.

Skills

Attention to detail

Communication skills

Data analysis

Understanding of equity, fixed-income, derivatives markets

Education

Bachelor’s degree in Finance, Business, Economics, Accounting, or related field

Tools

Microsoft Excel

SQL

Python

Tableau

Microsoft Word

Microsoft PowerPoint

Job description

Position Summary

Guggenheim Securities is the investment banking and capital markets division of Guggenheim Partners, a global investment and advisory firm. The Business Controls Group (BCG) serves as Guggenheim Securities’ designated first line of defense, providing delegated supervisory oversight of the firm’s Sales & Trading and Equity Research operations. BCG designs, implements, and maintains a comprehensive surveillance framework to detect potential violations of regulatory rules and internal policies and procedures. The BCG Analyst supports the team’s mission of safeguarding the firm’s regulatory and operational integrity.

Essential Job Functions

Surveillance & Monitoring

• Assist in executing daily and periodic surveillance reviews across trading activity, electronic communications, employee personal trading, and operational risk using the firm’s surveillance platforms.
• Review alerts and trading patterns under supervision to help identify potentially anomalous activity such as market abuse, insider trading, or front‑running.
• Support senior team members in maintaining surveillance rules, thresholds, and documentation.

Investigation & Escalation

• Help gather information and support data for investigations into flagged activity.
• Document findings clearly and concisely, with guidance from senior team members.
• Escalate questions and potential issues promptly to supervisors and learn to apply sound judgment in risk assessment over time.

Reporting & Analysis

• Prepare ad‑hoc reports and assist with quantitative data analysis to support the team and Business Unit stakeholders.
• Help maintain documentation used for regulatory examinations, internal audits, and management reporting.

Risk Management & Governance

• Learn to recognize and manage risk considerations in day‑to‑day work, with attention to safeguarding clients, the firm’s reputation, and its regulatory footprint.
• Support projects related to new and evolving SEC, FINRA, and other regulatory requirements.
• Stay informed on regulatory developments, enforcement trends, and industry best practices.

Ad‑Hoc & Special Projects

• Participate in regulatory examinations, internal audits, and special projects as directed by management, Compliance, or Legal.
• Contribute to cross‑functional initiatives to help strengthen the firm’s control framework.
• Perform additional responsibilities as assigned.

Basic Qualifications

• Bachelor’s degree in Finance, Business, Economics, Accounting, or a related field.
• 1–3 years of experience; internship or coursework exposure to financial services, compliance, controls, audit, or capital markets is a plus.
• Willingness and ability to obtain FINRA registrations 7, 57, 63, and 24 (Series4 required or must be obtained within a defined period).
• Foundational understanding of equity, fixed‑income, and/or derivatives markets.
• Familiarity with—or strong interest in learning—SEC and FINRA rules governing broker‑dealer activity.
• Strong attention to detail and a demonstrated ability to work carefully with data.
• Strong written and verbal communication skills.
• Proficiency in Microsoft Excel, Word, and PowerPoint.

Preferred Qualifications

• Prior internship experience at a broker‑dealer, exchange, regulator, or financial services firm.
• Coursework or hands‑on exposure to data analysis tools (e.g., SQL, Python, Tableau).
• Exposure to surveillance, compliance, audit, or risk concepts through coursework, certifications, or prior internships.
• Analytical Mindset: Curiosity and care in working with data; eagerness to develop quantitative analytical skills.
• Communication: Clear written and verbal communication; ability to ask thoughtful questions and present findings appropriately for the audience.
• Integrity & Professionalism: Strong ethical standards and discretion when handling sensitive information.
• Collaboration: Positive, team‑oriented attitude with a willingness to support colleagues across the organization.
• Eagerness to Learn: Self‑starter who is proactive about asking questions, taking feedback, and growing into broader responsibilities.
• Adaptability: Comfortable working in a fast‑paced environment and able to manage shifting priorities.

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 $80,000 – $90,000. 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.