VP, Policy, Procedures & Controls Strategy

1341 Guggenheim Partners Investment Management Holdings, LLC; New York (NY); On-site; USD 144,000 - 160,000; Full time

Benefits offered by this job

401k with matching

Healthcare programs

Paid leave

Learning and development

Family & caregiving support

Employee assistance program

Job summary

Guggenheim Investments seeks a Vice President for the Policies, Procedures, and Controls team in New York City. You will develop and manage governance documentation, reflecting firm practices and regulatory requirements, coordinating with subject matter experts and senior leaders across Investment Management, Operations, Compliance, Legal, and Risk Management.

The role emphasizes proactive, execution-focused governance, lifecycle management of documents, and interaction with Internal Audit for

Qualifications

• Bachelor’s degree required.
• 7–10+ years in financial services or top firm.
• Excellent written and oral communication; ability to distill complex processes.
• Strong analytical, critical thinking, and problem-solving skills.

Responsibilities

• Develop, draft, and update policies, procedures, process flows, checklists, charters, and related documentation.
• Own end-to-end lifecycle for assigned documentation including governance and approvals.
• Identify opportunities to enhance documentation governance frameworks and standards.
• Maintain centralized inventories and repositories for documentation.
• Lead projects, define milestones, and ensure timely completion in a high-demand environment.
• Prepare materials for senior management and governance forums.
• Develop high-quality PowerPoint, Word, Excel, and Visio materials.
• Monitor Internal Audits and assist with remediation plans.

Skills

Policy documentation

Strong written & verbal communication

Analytical thinking

Project management

Cross-functional collaboration

Education

Bachelor's degree

JD / MBA or related advanced degree

Job description

Guggenheim Investments seeks a Vice President for the Policies, Procedures, and Controls team in New York City. You will develop and manage governance documentation, reflecting firm practices and regulatory requirements, coordinating with subject matter experts and senior leaders across Investment Management, Operations, Compliance, Legal, and Risk Management.

The role emphasizes proactive, execution-focused governance, lifecycle management of documents, and interaction with Internal Audit for