Job Description:
The Chief Financial Officer (CFO) will serve as a key member of the executive leadership team, owning all aspects of financial reporting, regulatory capital management, accounting policy, and financial controls. This individual will be a strategic thought partner to senior leadership while maintaining rigorous operational oversight across our complex multi-entity structure.
This position is required to report in-office and can be based in either the New York City or Chicago office.
-
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
-
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
-
Minimum of 15 years of progressive finance and accounting experience, with at least 5 years in a senior financial leadership role
-
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
-
Prime brokerage or securities financing at a major financial institution
-
Annual base salary between $225,000 and $275,000.
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.
Guggenheim Treasury Services (GTS) is a dynamic, fast-paced structured funding business within Guggenheim Partners. We engage in a wide variety of structured funding transactions, including repo, securities lending, total return swaps and other custom arrangements, across equities and fixed income. Our platform operates across a multi-entity structure — including trading, hedging, and funding entities — designed to optimize regulatory capital and provide bespoke funding solutions to clients. A portion of our business is conducted through an SEC-registered security-based swap dealer (SBSD), with additional activity conducted through unregulated entities.
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."
