Compliance Analyst bei Guggenheim Investment

Position Summary

Responsibilities

Key Responsibilities:

• Support the oversight and management of the AI model risk management governance framework, including policies, procedures, approvals, and development standards as outlined in the Firm's Policy on Use of Artificial Intelligence Programs.
• Assist the GI Compliance team with various tasks and projects, including, adherence to rules and regulations related to political contributions, AML and  KYC.
• Assist in ensuring compliance with regulatory and firmwide guidelines for a fixed income and alternatives asset manager, focusing on adherence to the AI Governance Committee's requirements.
• Aid in monitoring, validating, and mitigating model risk under the guidance of senior team members.
• Contribute to producing model validation reports by gathering data and performing initial analyses.
• Work with developers, key stakeholders, and compliance teams on aspects of model validation, including challenging model methodologies and performance during reviews.
• Support the challenge of AI use cases to ensure compliance with the Policy on AI Use, including access controls, confidential information handling, output controls, and recordkeeping.
• Assist in organizing firm-wide deployment requirements for generative AI, tracking AI use cases in GI’s AIRegistry, and maintaining an accurate inventory of AI models, owners, and vendors.
• Serve as the primary recordkeeper for the AI Governance Committee by taking notes, organizing meeting minutes, tracking AI use cases, and providing general project management for AI rollout initiatives.
• Help identify and escalate potential model issues, assess model soundness, accuracy, and reliability.
• Stay informed on regulatory requirements and support compliance efforts, including training and attestations as per the Policy.
• Partner with stakeholders to implement model risk management best practices and address concerns at a supportive level.
• Conduct initial hands-on validation of AI and ML models, including analysis of business monitoring processes to ensure outputs are fit, accurate, and free of bias and defects.
• Support the creation of automation for performance monitoring and suggest improvements to the AI Governance Risk Framework.
• Assist in integrating first-line model controls with business leaders.
• Provide administrative support during regulatory exams, internal audits, and cybersecurity integrations related to AI models.
• Collaborate with IT teams to ensure seamless data flow, interoperability, and robust deployment processes for AI models.
• Help address audit findings and implement corrective actions to strengthen the AI model risk management framework.

Qualifications

#LI-DNI

Salary Range

Annual base salary between

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.