$110,000–$120,000 Per Year
Analysis Skills, Brokerage, Communication Skills, Detail Oriented, Documentation, Establish Priorities, Finance, Financial Services, Maintain Compliance, Microsoft Excel, Multitasking, Mutual Funds, Operational Support, Operations Processes, Organizational Skills, Presentation/Verbal Skills, Pricing, Problem Solving Skills, Product Support, Product/Service Launch, Project/Program Management, Reconciliation, Record Keeping, Regulatory Requirements, Regulatory Submissions, SEC Filings, Sales, Securities and Exchange Commission (SEC), Series 7, Time Management, Writing Skills
Position Summary
Guggenheim Investments is seeking a UIT Trading and Origination Senior Associate to join the Unit Investment Trusts (UITs) team. This role is responsible for regulatory filings, daily pricing activities, and operational support functions. Working closely with external partners, various internal teams, and key service providers. The position requires strong attention to detail, analytical skills, and the ability to organize and prioritize work to meet business needs and deadlines.
This position will be located in our Lisle, IL office.
Responsibilities
Key Responsibilities
- Manage regulatory filings and documentation related to Unit Investment Trusts (UITs), ensuring compliance with applicable SEC and Investment Company Act requirements
- Review and validate regulatory filings for accuracy and adherence to internal and external standards
- Partner with Legal, Compliance, and external auditors to prepare and submit registration statements and other required filings
- Maintain a strong understanding of UIT products, regulatory requirements, and industry practices
- Ensure accurate daily pricing through review of trust expenses, sales charges, and market-related adjustments
- Monitor and reconcile daily data exchanges with third-party vendors, service providers, and broker/dealer partners
- Investigate and resolve operational exceptions, discrepancies, and data issues in a timely manner
- Support product launches and ongoing trust administration activities through coordination with internal teams and external partners
- Maintain accurate records, procedures, and controls supporting operational processes
- Adhere to regulatory requirements, internal policies, and established controls
Qualifications
Required Qualifications
- Bachelor's degree in Finance, Business, or a related field
- 3+ years of experience in financial services or a related field
- FINRA Series 7 license required within three months of start date
- Strong analytical, organizational, and problem solving skills
- Exceptional attention to detail and accuracy
- Proven ability to manage multiple priorities and meet deadlines in a fast-pace environment
- Strong written and verbal communication skills
- Proficiency in Microsoft Excel
Preferred Qualifications
- Prior experience with Unit Investment Trusts (UITs), mutual funds, or other registered investment products
- Familiarity with SEC filing systems (e.g., EDGAR) and registration statement preparation
- Project management with proven ability to execute tasks independently
Salary Range
Annual base salary between
$110,000.00-$120,000.00
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.