General Counsel - Guggenheim Investments

Guggenheim Investments (“GI”), the global asset management division of Guggenheim Partners, is seeking an experienced candidate to serve as its General Counsel.

GI manages fixed income, equity, and alternative strategies to a diverse institutional client base, including insurance companies, corporate and public pension funds, endowments and foundations. GI currently has $255 billion in assets under management.

The ideal candidate will be a collaborative problem-solver with both a comprehensive legal and regulatory background and a commercial mindset. The General Counsel advises GI business and investment professionals, including the divisions Co-Presidents and Chief Investment Officers, on all manner of legal risk impacting GI’s institutional and retail separately-managed accounts, GI registered and unregistered funds, sub-advised funds, employment related matters, and vendor agreements, as well as providing advice on matters of corporate governance. Such advice arises in connection with current, proposed or anticipated business activities, and requires the balancing of business-oriented goals with legal risk. In that role, the General Counsel interacts frequently with other control functions, including Risk, Compliance, Operations, HR, Audit and others.

The General Counsel professional will report to Guggenheim Partners, LLC Chief Legal Officer and will serve on the firm’s Legal and Compliance Executive Committee.

While GI is currently working remotely, the position is located in New York or Chicago and will require some travel, circumstances permitting.

Essential Job Functions

• Lead and manage approximately 25 lawyers and other professional legal staff;
• Oversee and coordinate the activities of separate teams providing legal advice and support to all aspects of the GI business, including creating, structuring, negotiating and monitoring with respect to all manner of accounts, strategies and products. These include private funds, CLOs, SMAs, IMAs, GI-originated and public debt and credit, and retail open- and closed-end funds;
• Provide advice on a wide range of work, including advising on the regulation, establishment, management, governance and marketing of alternative investment funds, which invest in securities in both private and public markets, credit, real estate and infrastructure;
• Identify, escalate and resolve legal and reputational risks;
• Participate on various committees and governance structures; and
• Oversee and supervise the activities of outside counsel, including implementing a preferred provider program designed to ensure the delivery of timely and professional advice in a cost-effective manner.

Preferred Qualifications

• Comprehensive knowledge of the Investment Advisers Act of 1940 and understanding of the Investment Company Act of 1940.
• Experience with fixed income and alternative investments.
• Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately.
• Strong problem-solving skills and demonstrated ability to lead through challenging situations.

Basic Qualifications

• At least 15 years of institutional investment management-related experience at a law firm, regulator or in-house.
• JD degree required and licensed to practice in NY or IL.

About Us

Guggenheim Partners is a global investment and advisory firm with three primary businesses: investment management, investment banking, and insurance services. We have a track record of delivering results through innovative solutions, with professionals based in offices around the world. Our commitment is to advance the strategic interests of our clients and to deliver long-term results with excellence and integrity. You can learn more about our expertise and values by visiting GuggenheimPartners.com and following us on Twitter at twitter.com/guggenheimptnrs.

To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.
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.