Financial Markets Controls Analyst: Surveillance & Risk

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

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.