Job Details

Compliance Vice President/director Regulatory Counsel

Company name

GUGGENHEIM PARTNERS, LLC

Organization Type

In-House

Job Type

Attorney

Date Last Verified

May 15,2019

Valid Through

Aug 28,2019

Posted on

Dec 25,2018

Years of Experience

4-10 yrs required

Location

Santa Monica, CA, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - Investment Company Act
  Employer Sponsored Job (Free to apply to)
 
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Profile

Compliance Vice President/Director & Regulatory Counsel
The candidate will be primarily responsible for advising on key regulatory issues associated with company's marketing, distribution and client services’ activities worldwide, specifically related to separately managed accounts and private funds. Will also work closely with Compliance and Legal colleagues. Act as primary point of contact for ad hoc private fund issues. Review fund documents for required disclosure updates, regulatory changes, etc. Propose and implement changes to private fund policies and procedures, including by delivering training to other relevant departments. Advise on regulatory considerations in connection with new institutional product launches and wind downs. Manage Form D and Blue Sky filings. Maintain records and documentation. Advise on ad hoc project proposals, including tailored marketing decks, track records and required disclosures. Advise on cross-border marketing issues, including by screening new prospects, providing guidance to the Distribution team on permitted practices and liaising with colleagues in overseas sales offices. Take lead on annual requirements, including self-examination questionnaire. Advise Distribution team of marketing restrictions and licensing requirements. Review and comment on investment management agreements for new client accounts for regulatory compliance issues.

Qualification and Experience

The candidate should have a JD. At least 4 to 10 years of institutional investment management-related experience at a law firm or regulator or in-house. Comprehensive knowledge of the Investment Advisers Act of 1940. Experience with fixed income and alternative investments. General understanding of NFA and CFTC issues. Strict attention to detail combined with excellent prioritization and organization skills. Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately. Strong problem solving skills and demonstrated ability to take initiative. Willingness to roll up sleeves to perform any and all responsibilities needed to ensure success. Must be a collaborative problem solver with a comprehensive legal and regulatory background and commercial mindset.

Additional info

Job no: 11104

Company info

Hiring Coordinator
GUGGENHEIM PARTNERS, LLC
100 Wilshire Boulevard
Santa Monica, CA 90401

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