Deputy Legal and Compliance Officer

Job Description:

Asset Consulting Group is looking for a legal/compliance professional to join the team. This individual would serve as deputy CCO and legal advisor to ACG Firm Management on all legal and compliance matters related to an Institutional Investment Adviser’s Compliance Program, and other firm related regulatory and legal issues. This candidate will have sound judgment and thrive in a semi-autonomous and entrepreneurial environment while maintaining strong relationships with colleagues, regulators, and legal professionals.

This is position will report in-person in our St. Louis office.

• The individual would serve as Deputy CCO and Legal advisor to Firm Management on all legal and compliance matters related to an Institutional Investments Adviser’s Compliance Program, and other firm related legal issues
• Provide compliance oversight and review of all prospecting/marketing materials
• Manage regulatory examinations and interface with various regulators
• Advise on new regulatory rule proposals and other special projects
• Manage new client and ongoing KYC and AML due diligence process
• Manage onboarding and negotiating of new client Investment Advisory Agreements
• Oversee Discretionary and Non-Discretionary Trading Authority Relationships
• Ensure ongoing compliance with client guidelines and contracts
• Review and ensure all documentation are complete, accurate and accessible
• Conduct annual and ongoing compliance training of firm employees
• Maintain ACG’s high operational standards related to transactions, valuation, cash and position reconciliation, and custodian oversight
• Facilitate and monitor discretionary client transactions including receipt and acknowledgements processes
• Develop, maintain, and enhance written procedures for the management and oversight of discretionary client accounts
• Present recommendations for resolving complex compliance/legal situations while developing expertise on functions, projects, internal and industry related initiatives
• Collaborate and consult with colleagues and managers to resolve issues and achieve goals

• JD degree, Investment Advisory, and/or Investment Management Experience preferred
• Ability to prioritize & manage multiple tasks in a fast paced, deadline-driven change environment
• Excellent written and verbal communication skills along with strong time management skills
• Comprehensive knowledge of the Investment Advisers Act of 1940
• Must have experience and knowledge of AML/KYC requirements for taxable and tax-exempt investors.
• Must have general understanding of Investment Advisory Business
• Ability to analyze business situations and problem solve, including making recommendations for resolution

• Completion of a bachelor’s degree
• Minimum of 3 years of experience in financial services industry

• Base salaries may vary depending on factors such as location and experience.

Asset Consulting Group (ACG) is a wholly owned subsidiary of Guggenheim Partners and located in St. Louis, MO. ACG is an investment consulting firm focused exclusively on providing sophisticated, creative investment expertise to a select group of clients.  We partner with our clients to recommend customized investment solutions.  We provide guidance and perspective to help our clients sift through the many complex investment issues they are faced with, and work with them to develop and monitor comprehensive investment strategies in the most effective, efficient way possible. ACG delivers investment consulting and advisory services such as multi-asset allocation, research and related investment services to institutions and ultra-high net worth individuals and families.

About Us:
Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

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 GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs."