Policies, Procedures, & Controls, Vice President

Position Summary

Guggenheim Investments (“GI” or “Firm”) is seeking a Vice President to join its Policies, Procedures, and Controls team. The team, which is part of the Office of the President, is the core driver of the Firm’s governance framework for policies, procedures and related documentation, with direct responsibility for developing, managing, and enhancing the policies and procedures that support GI’s investment management and operational activities. This Vice President will work in a fast-paced, growing environment and will collaborate closely with subject matter experts and senior stakeholders across the Firm, including Investment Management, Portfolio Management, Operations, Client Services, Marketing, Compliance, Legal, and Risk Management. The role requires being highly proactive, execution-focused, and will be central to how the Firm documents, governs, and communicates its processes and controls. The position is based in our New York City office full-time.

Responsibilities Key Responsibilities

• Develop, draft, and update policies, procedures, process flows, checklists, charters, and related documentation to accurately reflect Firm practices, products, processes, and regulatory requirements.
• Own and manage the end-to-end lifecycle for assigned documentation, including identifying the need for new or revised documents, working with subject matter experts to understand processes and controls, drafting and refining content, navigating internal governance and approvals, and coordinating formal issuance in line with Firm standards.
• Proactively identify opportunities to enhance documentation governance frameworks, workflows, and standards to promote consistency, clarity, and operational efficiency across the Firm.
• Maintain centralized inventories and repositories to ensure documentation is current, organized, easily retrievable, and effectively embedded into business and control processes.
• Lead and support various projects and initiatives, by helping to define and track milestones and deliverables, and ensuring timely completion in a high-demand environment.
• Address ad hoc projects and initiatives related to policies, procedures, governance, and process documentation in response to evolving business needs, regulatory expectations, and strategic priorities.
• Prepare and contribute to materials and reports for senior management and governance forums.
• Develop and maintain high-quality PowerPoint, Word, Excel, and Visio materials, ensuring a professional, consistent, and accurate presentation aligned with Firm standards.
• Monitor Internal Audits, including reviewing/challenging Internal Audit findings, and assisting Internal Audit with drafting remediation Action Plans, where applicable.
• Perform other duties and responsibilities, as assigned, including, but not limited to, matters relating to policies, procedures, charters, controls, governance, and associated processes and documentation.

Qualifications Basic Qualifications

Basic Qualifications Minimum of seven to ten years of experience in a financial services organization or equivalent experience at a top consulting firm or top law firm. Bachelor’s degree required. Excellent written and oral communication skills, including the ability to write clearly, concisely, and logically for different audiences and to distill complex processes into well-structured documentation. Strong analytical, critical thinking, and problem-solving skills, with the ability to quickly understand how products, processes, systems, and controls fit together and to translate that understanding into robust documentation. Demonstrated ability to work effectively on multiple projects and initiatives simultaneously, under tight deadlines and in a high-pressure environment, while maintaining high quality and accuracy.

Preferred Qualifications

• An advanced degree (such as JD, MBA, or a relevant graduate degree) is desirable.
• 10 years of progressive experience in policy/procedure roles – legal practice, internal audit, technical documentation, or the like.
• High level of attention to detail and a strong focus on accuracy, combined with the ability to understand broader implications of changes to policies and procedures.
• Proactive, issue-spotting, and solutions-oriented mindset; innovative and comfortable identifying gaps, proposing improvements, and driving work forward with minimal supervision.
• Genuine interest in learning how products, processes, and systems work, and in engaging deeply with subject matter experts to understand new or complex topics.
• Proven ability to build and maintain strong relationships with stakeholders across functions and levels, including investment, operations, control, and support teams.
• Collaborative working style, with the ability to operate independently, and take ownership of deliverables.

We are not seeking agency assistance with this role.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States. Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

The benefits offered for this position

• 401k with matching contribution
• Healthcare and wellbeing programs
• Paid leave
• Learning and development opportunities
• Family and caregiving support
• Employee assistance program

Salary Range

Annual base salary between $144,000.00-$160,000.00. 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 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.

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