Policies, Procedures, & Controls, Senior Associate

1341 Guggenheim Partners Investment Management Holdings, LLC; New York (NY); On-site; USD 113,000 - 125,000; Full time

Benefits offered by this job

Competitive compensation

401k with matching contribution

Healthcare and wellbeing programs

Paid leave

Learning and development opportunities

Family and caregiving support

Employee assistance program

Job summary

Guggenheim Investments seeks a Senior Associate to join its Policies, Procedures, and Controls team in New York City. The role focuses on developing, updating and governing firm-wide documentation that supports investment management and operations.

You will draft policies and related materials, coordinate with stakeholders across functions, and maintain repositories. Strong written and verbal communication, plus 3–5 years of financial services experience, are essential.

Qualifications

• Minimum of three to five years in a financial services organization or equivalent.
• Bachelor’s degree required.
• Strong written and oral communication skills.
• Ability to work on multiple projects under tight deadlines.

Responsibilities

• Assist in developing, drafting, and updating policies, procedures, charters, process flows, checklists, and related documentation.
• Support end-to-end lifecycle for assigned documentation with SMEs; draft and refine content; coordinate approvals.
• Identify opportunities to enhance team efficiencies.
• Maintain centralized inventories and repositories for documentation.
• Handle various projects, tracking milestones and deliverables.
• Address ad hoc governance and documentation initiatives.
• Prepare materials and reports for senior management and governance forums.
• Develop and maintain PowerPoint, Word, Excel, and Visio materials.
• Monitor Internal Audits and draft remediation actions as needed.
• Maintain team administrative documents (trackers, templates).
• Perform other duties related to policies, procedures, governance and related processes.

Skills

Written communication

Verbal communication

Analytical thinking

Project management

Attention to detail

Regulatory awareness

Education

Bachelor's degree

Advanced degree desirable (JD/MBA)

Job description

Position Summary Position OverviewGuggenheim Investments(“GI” or “Firm”) is seeking a Senior Associate to join its Policies, Procedures, and Controls team. The team, which is part of the Office of the President, is the core driver of the Firm’s governance framework for policies, procedures and related documentation, with direct responsibility for developing, managing, and enhancing the policies and procedures that support GI’s global investment management and operational activities. This Senior Associate will work in a fast-paced, growing environment and will collaborate closely with team members, subject matter experts and senior stakeholders across the Firm, including Investment Management, Portfolio Management, Operations, Client Services, Marketing, Compliance, Legal, and Risk Management. The role requires being highly proactive, execution-focused, and able to multitask and adhere to deadlines, and will support how the Firm documents, governs, and communicates its processes and controls. The position is based in our New York City office full-time.

Responsibilities

• Assist in developing, drafting, and updating policies, procedures, charters, process flows, checklists, and related documentation to accurately reflect Firm practices, products, processes, and regulatory requirements.
• Support end-to-end lifecycle for assigned documentation, including working with team members and subject matter experts to understand processes and controls, drafting and refining content, helping to navigate internal governance and approvals, and coordinating formal issuance in line with Firm standards.
• Proactively identify opportunities to enhance team efficiencies.
• Maintain centralized inventories and repositories to ensure documentation is current, organized, and easily retrievable.
• Work on various projects and initiatives, by helping to define and track milestones and deliverables, and ensuring timely completion in a high-demand environment.
• Help to address ad hoc projects and initiatives related to policies, procedures, governance, and process documentation in response to evolving business needs, regulatory/Internal Audit expectations, and strategic priorities.
• Prepare and contribute to materials and reports for senior management and governance forums.
• Develop and maintain high-quality PowerPoint, Word, Excel, and Visio materials, ensuring a professional, consistent, and accurate presentation aligned with Firm standards.
• Monitor Internal Audits, including reviewing/challenging Internal Audit findings, and assisting with drafting remediation Action Plans, where applicable.
• Develop, enhance, and maintain team administrative documents (e.g., trackers, templates)
• Perform other duties and responsibilities, as assigned, including, but not limited to, matters relating to policies, procedures, charters, controls, governance, and associated processes and documentation.

Basic Qualifications

• Minimum of three to five years of experience in a financial services organization or equivalent experience at a top consulting firm or top law firm.
• Bachelor’s degree required.
• Strong written and oral communication skills, including the ability to write clearly, concisely, and logically.
• Strong analytical, critical thinking, and problem-solving skills.
• Demonstrated ability to work effectively on multiple projects and initiatives simultaneously, under tight deadlines and in a high-pressure environment, while maintaining high quality and accuracy.
• High level of attention to detail and a strong focus on accuracy.

Preferred Qualifications

• An advanced degree (such as JD, MBA, or a relevant graduate degree) is desirable.
• Proactive, issue-spotting, innovative, and solutions-oriented mindset.
• Genuine intellectual curiosity for learning how products, processes, and systems work, and in engaging with subject matter experts to understand new or complex topics.
• Collaborative working style, and an ability to build and maintain relationships with stakeholders across functions, including investment, operations, control, and support teams.
• Take ownership of assignments and deliverables, and comfortable asking questions.

Benefits

• Competitive compensation
• 401k with matching contribution
• Healthcare and wellbeing programs
• Paid leave
• Learning and development opportunities
• Family and caregiving support
• Employee assistance program

Salary Range Annual base salary between $112,500.00-$125,000.00 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.

We are not seeking agency assistance with this role.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States. Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

We focus relentlessly on delivering results through innovative solutions. We relish opportunities to solve complex problems through exhaustive approaches. As we conduct our business every day, every member of Guggenheim is expected to uphold our uncompromising standards for integrity and excellence and to be personally accountable for their actions and business results. Our principles entail engaging highly talented people, challenging them to think creatively, and encouraging them to achieve extraordinarily high standards in their fields of expertise. To succeed at Guggenheim, candidates should be a strong fit with our business principles, culture, and value system.

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 GuggenheimInvestments.com, and follow us on LinkedIn.