Rob Saperstein
Rob Saperstein is a Senior Managing Director, the Head of Compliance for Guggenheim Investments. Rob joined Guggenheim in June 2012 as Senior Regulatory Counsel and Head of Central Compliance. Rob has over 30 years’ experience as a legal and compliance professional in the industry. As Global Head of Compliance, Rob has oversight over the compliance programs for all Registered investment Advisors, Registered Investment Companies, Broker-Dealers, Commodity Trading Advisors and Business Development Companies firm-wide.
Prior to joining Guggenheim, Rob was the Chief Compliance Officer and Associate General Counsel at Caxton Associates, LLC, a large hedge fund advisor based in NYC and London from 2005 - 2011. Before joining Caxton, Rob was an Associate General Counsel and Vice President at Goldman, Sachs & Co from 2000 – 2005, specializing in broker-dealer and asset management legal and compliance. Prior to Goldman, he was a Managing Director in the legal and compliance department at Bear Stearns & Co. from 1995 – 2000. Before Bear Stearns, Rob served as a Branch Chief in the Enforcement Division of the New York office of the US Securities and Exchange Commission from 1991 – 1995. He began his career as a litigation Associate at the law firm of Rosenman & Colin. Rob is a speaker at numerous industry conferences and has led seminars in various compliance topics. Rob is a member of the Board of Directors and the Co-Chair of the Regulatory Advisory Committee of the National Society of Compliance Professionals (NSCP). His previous industry affiliations have included: Vice Chair of the MFA Sound Practices Committee, member of the Private Investment Funds Committee of the NYC Bar Association, member of the NYSE Series 14 Exam Writing Committee and member of the MFA CCO Forum Steering Committee. Rob passed his FINRA Series 7, Series 8, Series 14 and Series 24 exams. Rob graduated from Tufts University in 1985 with honors and from George Washington University Law School in 1988 with honors. He is admitted to practice in New York State.
3b. ALL - Supervision & Compliance of Off-Channel Communications (Intermediate - OPEN)