Guggenheim Securities

Director

• Maintenance of the Firm’s watch and restricted lists.
• Conduct conflict searches for relevant activity across all business units and affiliated entities.
• Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
• Process and manage ‘wall-crossing’ requests.
• Assist in preparing responses to FINRA underwriter questionnaires.
• Information barrier monitoring and watch and restricted list trade surveillance.
• Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
• Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
• Rotational weekend coverage.

Control Room Director

Financial Planning and Analysis

• Perform financial analyses to support advisory transactions and highlight key takeaways
• Carefully review and provide guidance to Analyst teammates
• Develop working knowledge of multiple client sectors, monitor key industry drivers and assemble insights to support and enhance advisory services and new business development initiatives
• Lead diligence, research, analysis and documentation of potential and live transactions
• Lead development of relevant marketing memoranda, diligence exhibits and transaction artifacts
• Anticipate potential deal challenges and elevate concerns through to team members in real time
• Drive creation of strategic frameworks, tools and intellectual property to aid business development activities of the firm
• Actively participate in client meetings and drafting sessions
• Identify improvements to processes and propose solutions to complete group tasks more efficiently
• Lean into client relationships through C-Suite level exposure
• Apply understanding of macro factors related to client sectors and investment banking
• Conduct “on the job” training, providing continuous, constructive feedback with goal of improving quality of analyst and intern work product
• Actively participate in recruiting and training activities

Experienced Associate – Investment Banking, Global Services

• Perform financial analyses to support advisory transactions and highlight key takeaways
• Develop working knowledge of multiple client sectors, monitor key industry drivers and assemble insights to support and enhance advisory services and new business development initiatives
• Lead diligence, research, analysis and documentation of potential and live transactions
• Lead development of relevant marketing memoranda, diligence exhibits and transaction artifacts
• Anticipate potential deal challenges and elevate concerns through to team members in real time
• Drive creation of strategic frameworks, tools and intellectual property to aid business development activities of the firm
• Actively participate in client meetings and drafting sessions
• Identify improvements to processes and propose solutions to complete group tasks more efficiently
• Lean into client relationships through C-Suite level exposure
• Apply understanding of macro factors related to client sectors and investment banking
• Conduct “on the job” training, providing continuous, constructive feedback with goal of improving quality of analyst and intern work product
• Actively participate in recruiting and training activities

Control Room Director

Experienced Associate – Investment Banking, Global Services

Experienced Analyst – Investment Banking, Global Services