Financial Advisor consulting with clients to determine best financial actions for investment goals. Engaging with clients and assessing their financial situations with a focus on compliance and product suitability.
About the role
- Chief Financial Officer responsible for financial reporting, regulatory compliance, and operational oversight within Guggenheim Treasury Services. Leading finance and accounting team in a dynamic structured funding business.
Responsibilities
- 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
Requirements
- Minimum of 15 years of progressive finance and accounting experience
- CPA required; CFA or advanced degree a plus
- Substantive experience in a regulated financial services environment required; candidates from the following backgrounds are strongly encouraged to apply: SEC-registered security-based swap dealers (SBSD)
- CFTC-registered swap dealers (SD) or futures commission merchants (FCM)
- FINRA-registered broker-dealers, particularly those with prime brokerage, equity finance, or OTC derivatives businesses
- Familiarity with SEC or FINRA regulatory capital frameworks; direct experience with SEC SBSD rules (18a-1, 15c3-1, 18a-6, 18a-7) is a plus but not required — candidates with transferable regulatory capital experience are encouraged to apply
- Strong technical accounting background in derivatives and structured products under US GAAP, including equity swaps, TRS, and repurchase agreements
- Experience managing financial operations across both regulated entities and unregulated affiliates, including intercompany arrangements and transfer pricing considerations
- Track record of leading or contributing to financial systems modernization initiatives
- Excellent communication skills with the ability to translate complex financial and regulatory matters internally and externally.
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