Director/MD RIA Compliance

Job description

Job Description: Guggenheim Securities Position Summary: Guggenheim Securities is seeking an experienced candidate to establish and maintain a compliance program for a to-be-formed warehouse lender. This individual will act as a strategic partner to the executive team, ensuring regulatory integrity across both RIA and Structured Credit Transactions. The ideal candidate will be a self-starter, critical thinker and collaborative problem solver with a comprehensive regulatory background. Essential Job Functions: - Design, implement, and maintain the firm’s compliance program in accordance with SEC regulations (Investment Advisers Act of 1940) - Draft Annual Compliance Report - File, maintain, and update Form ADV, disclosures, and regulatory fillings - Serve as principal compliance advisor to the warehouse lending business - Serve as primary liaison with regulators - Design, implement, and maintain compliance manuals and policies - Lead annual compliance reviews and ongoing monitoring Preferred Qualifications: - 15+ years of experience in RIA/private markets compliance with a preference for institutional asset management experience - Prior CCO or Deputy CCO for a registered investment...