Compelo Banking - Latest industry news and analysis is using cookies

We use them to give you the best experience. If you continue using our website, we'll assume that you are happy to receive all cookies on this website.

ContinueLearn More

Guggenheim Investments names new interim CCO for certain closed-end ETFs

Guggenheim Funds Investments Advisors (Funds) has named Joanna Catalucci as the new interim chief compliance officer (CCO) of certain exchange-traded (ETF) and closed-end funds.

The funds are Claymore Exchange-Traded Fund Trust and Trust 2 and the Guggenheim closed-end funds namely Fiduciary/Claymore MLP Opportunity, Build America Bonds Managed Duration Trust, Equal Weight Enhanced Equity Income, Enhanced Equity Strategy, and Strategic Opportunities.

Additional funds include Enhanced Equity Income, Madison/Claymore Covered Call & Equity Strategy and Managed Duration Investment Grade Municipal.

Appointment by each Fund’s Board of Trustees, Catalucci is a managing director of Compliance and Fund Board Relations within Guggenheim Partners and will lead to focus on compliance requirements of the investment advisors, products and distribution.

Catalucci has also assisted in the facilitation of consistency and overall relationship management of the multiple fund boards.

Prior to Guggenheim, she served as senior vice president and chief compliance officer of Rydex|SGI for 12 years and led the compliance programs for Rydex|SGI’s investment advisor, mutual funds and ETFs, as well as institutional accounts.

She also oversaw the execution and monitoring of Rydex|SGI’s code of ethics and coordinated all aspects of various regulatory exams apart from heading the Risk Committee for Rydex|SGI.

Before joining Rydex|SGI in 2000, Catalucci served as vice president of fund administration for Chase Global Fund Services and was responsible for compliance for the Morgan Stanley Dean Witter group of funds.

Catalucci also served as an audit supervisor at PricewaterhouseCoopers and holds a Financial Industry Regulatory Authority ("FINRA") Series 7 license.

Guggenheim Investments is the investment management division of Guggenheim Partners, which consists of investment managers with approximately $130bn in combined total assets.