Guggenheim Securities

Financial Planning and Analysis

• Lead all financial reporting, month-end close, and consolidation processes across the various entities in the business
• Own and enforce accounting policies for structured products including total return swaps (TRS), repurchase agreements, securities lending, and other funding arrangements in accordance with US GAAP
• Manage FOCUS and other regulatory reporting, as well as overall capital compliance, for the SEC-registered SBSD, including net capital requirements under SEC Rule 18a-1, financial recordkeeping under Rule 18a-6, and periodic reporting obligations under Rule 18a-7
• Contribute to compliance efforts related to SEC risk management requirements applicable to SBSDs, including margin, counterparty exposure, and position reporting
• Partner with technology leadership on the modernization of our accounting and order management systems, including the transition from legacy infrastructure to new financial reporting and journal entry processes
• Establish and maintain strong internal controls, audit readiness, and governance frameworks across both regulated and unregulated entities
• Manage relationships with external auditors, regulators, custodians, and counterparties
• Build and develop the finance and accounting team

Chief Financial Officer – CFO