UIT Trading & Origination Senior Associate

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. We focus relentlessly on delivering results through innovative solutions. We relish opportunities to solve complex problems through exhaustive approaches. As we conduct our business every day, every member of Guggenheim is expected to uphold our uncompromising standards for integrity and excellence and to be personally accountable for their actions and business results. Our principles entail engaging highly talented people, challenging them to think creatively, and encouraging them to achieve extraordinarily high standards in their fields of expertise. To succeed at Guggenheim, candidates should be a strong fit with our business principles, culture, and value system. We encourage you to review Our Firm page to learn more about how we seek to create value through our diversified businesses. Visit the link below to review our current openings and job descriptions and to apply today. We offer compelling opportunities for self-starters who take great pride in the quality of their work and seek to exceed expectations. We are looking for people who take ownership, adhere to the highest standards, and think creatively to realize opportunities. Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Learn more at GuggenheimInvestments.com, and follow us on LinkedIn.