Attorney- CLO, Vice President

Position Summary

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This is a broad, front-office aligned legal role supporting the full lifecycle of the CLO platform. The successful individual will work closely with the investment team and be responsible for advising across warehouse financing, CLO formation and issuance, and ongoing CLO management, including refinancings, resets and amendments.

The role also involves working with internal stakeholders and managing external counsel to support execution. In addition, the role will provide exposure to adjacent credit strategies over time, including SMAs and private funds. This role is based in Stamford, CT.Responsibilities

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Key Responsibilities:

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• Support the structuring, formation, and ongoing administration of private funds, including both open-ended and closed-ended vehicles
• Assist with the establishment and management of separately managed accounts (SMAs), including documentation review, onboarding, and ongoing operational support
• Participate in fund finance transactions, including subscription credit facilities, NAV facilities, hybrid facilities, and other leverage arrangements
• Review, negotiate and analyze credit facility documentation
• Experience with insurance companies and knowledge of their specific structuring, regulatory and reporting requirements preferred
• Appropriately analyze and escalate key issues
• Provide legal advice and regulatory support as may relate to fund and advisory relationships
• Work collaboratively with various internal and external stakeholders
• Participate in other various projects as assigned

Warehouse Financing

• Support the deal team in the negotiation of warehouse credit facilities used to accumulate loan portfolios prior to CLO securitization
• Review draft warehouse facility agreements, including credit agreements, security documents, and related ancillary documentation
• Review placement agent engagement letters
• Advise on eligibility criteria, concentration limits, advance rates, and portfolio management restrictions
• Coordinate with lenders and transaction parties on facility amendments, extensions, and modifications

CLO Formation & Issuance

• Support the structuring and documentation of new CLO issuances, including indentures, collateral management agreements, and offering documents
• Support the negotiation of terms with arrangers, placement agents, rating agencies, trustees, and investors
• Advise on regulatory compliance matters, including U.S. and EU/UK Risk Retention Rules, Volcker Rule considerations, and applicable securities law requirements
• Manage closing mechanics and ensure timely execution of all transaction documents

Ongoing CLO Management

• Advise collateral managers on compliance with indenture covenants, trading restrictions, and reinvestment criteria
• Support refinancings, resets, and repricing transactions throughout the CLO lifecycle
• Support the negotiation of amendments, waivers, and supplemental indentures as required
• As needed, review responses to investor inquiries and rating agency surveillance matters, if any

Wind-Down & Liquidation

• Advise on optional and mandatory redemption mechanics
• Advise and assist on the liquidation of CLO
• Review payoff and release documentation with trustees and noteholders
• Manage residual matters, including final distributions and entity dissolutions

Regulatory & Compliance

• Monitor legislative and regulatory developments affecting CLOs, structured credit, and the broader fixed income markets
• Work collaboratively with Compliance, Risk, Tax, and Operations functions to ensure adherence to applicable laws and regulations
• Coordinate implementation of policy and procedural changes to maintain ongoing compliance
• Support regulatory inquiries and responses as they relate to the CLO business

Cross Functional Partnership

• Serve as a strategic legal advisor to GILA investment professionals and front office teams
• Support the expansion of the BSL CLO platform into adjacent liquid credit strategies, including separately managed accounts and private funds
• Review and advise on marketing materials, investor presentations, and due diligence requests
• Manage relationships with external law firms

Qualifications

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Basic Qualifications:

• Juris Doctor
• 5-7 years of firm or in-house experience
• The ideal candidate will bring strong and credible CLO experience (issuance + lifecycle essential)
• Experience drafting and negotiating key documentation (e.g. indentures)
• Ability to manage transactions and stakeholders independently
• Commercially minded and comfortable working directly with investment teams

Preferred Qualifications

• High degree of ownership and accountability
• Strong judgement and problem-solving ability
• Organized, proactive and reliable
• Interest in broader business and platform development

We are not seeking agency assistance with this role.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States. Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

The benefits offered for this position:

• 401k with matching contribution
• Healthcare and wellbeing programs
• Paid leave
• Learning and development opportunities
• Family and caregiving support
• Employee assistance program

Salary Range

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Annual base salary between

$220,000.00-$225,000.00

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.

About Guggenheim Investments

We focus relentlessly on delivering results through innovative solutions. We relish opportunities to solve complex problems through exhaustive approaches. As we conduct our business every day, every member of Guggenheim is expected to uphold our uncompromising standards for integrity and excellence and to be personally accountable for their actions and business results.

Our principles entail engaging highly talented people, challenging them to think creatively, and encouraging them to achieve extraordinarily high standards in their fields of expertise. To succeed at Guggenheim, candidates should be a strong fit with our business principles, culture, and value system. We encourage you to review Our Firm page to learn more about how we seek to create value through our diversified businesses.

Visit the link below to review our current openings and job descriptions and to apply today.

We offer compelling opportunities for self-starters who take great pride in the quality of their work and seek to exceed expectations. We are looking for people who take ownership, adhere to the highest standards, and think creatively to realize opportunities.

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 GuggenheimInvestments.com, and follow us on LinkedIn.