Finance Controls & Surveillance Analyst

Guggenheim Securities; New York (NY); On-site; USD 80,000 - 85,000; Full time

Job summary

Guggenheim Securities in New York is seeking an Analyst for the Business Controls Group. This role involves monitoring trading activities and ensuring compliance with regulatory standards while supporting the integrity of operations.

The ideal candidate will have a Bachelor's degree in Finance or a related field and strong analytical skills. This position offers valuable exposure to financial services controls and compliance.

Qualifications

• 1-3 years of experience, internship in financial services is a plus.
• Willingness to obtain FINRA registrations.
• Foundational understanding of equity, fixed-income, and/or derivatives markets.

Responsibilities

• Assist in daily surveillance reviews of trading and communications.
• Review alerts and document findings under supervision.
• Prepare ad-hoc reports and assist with quantitative data analysis.

Skills

Attention to detail

Data analysis

Communication skills

Microsoft Excel

Interest in compliance

Education

Bachelor’s degree in Finance, Business, Economics, Accounting

Tools

SQL

Python

Tableau

Job description

Guggenheim Securities in New York is seeking an Analyst for the Business Controls Group. This role involves monitoring trading activities and ensuring compliance with regulatory standards while supporting the integrity of operations.

The ideal candidate will have a Bachelor's degree in Finance or a related field and strong analytical skills. This position offers valuable exposure to financial services controls and compliance.