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Talent Spotlight: Kerri 

We sat down with Managing Director and Global Head of Compliance Operations Kerri, Compliance, to discuss her involvement in promoting a culture of compliance and how she prioritizes responsibilities for better work-life balance.

Please describe your title and role at the firm.

I am a Managing Director, Global Head of Compliance Operations and am a member of the Central Compliance Team. I am responsible for registration and reporting across the firm’s registered entities to regulators. I also manage and monitor information barriers and compliance with the relevant regulatory and legal requirements applicable to material non-public information.

Please tell us about your career path at Guggenheim. What brought you to the firm and what from your past has helped make you successful here?

Prior to joining Guggenheim in 2012, I worked mainly as an accountant in the insurance, broker-dealer, and hedge fund industries. The exposure that I had to various areas of the financial services industry throughout my career has allowed me to learn new requirements and adjust to new responsibilities quickly. The technical experience I gained while working in the accounting profession has contributed to my success in instituting efficient compliance processes at Guggenheim. 

What is the best career or personal advice you have received or what is career or personal advice you would give?

“Do your best to leave work at work and home at home.” We often hear about work-life balance and the importance of family time. To address some of these issues, I implemented ways to prioritize my work responsibilities better and to delegate more to my staff. I found that if I took care of the higher priority items during business hours, the other items could be addressed during times when I had a more open schedule.

What is one thing your colleagues would be surprised to hear?

I owned a small business, which was a gym. I was actively involved all aspects of operating the business, including at one point, teaching 19 parent-child and gymnastics classes per week and running birthday parties on the weekends.

Someone told me years ago that you must step outside of your comfort zone to reach certain levels of success, and I leaped out of my comfort zone for this undertaking. I went from working as an accountant for 12 years, interfacing with professional men and women in a quiet environment, to working with parents and young children in an often hectic environment. Although I ultimately returned to financial services, I feel very lucky to have had this experience.



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